Associate, Compliance Marketing Review
Core
Review and advise on marketing materials to ensure compliance with global regulatory requirements and internal standards for an investment management firm.
Role type
Associate compliance marketing reviewer
Builds
Compliant marketing materials, client reports, research papers, webisodes, and social media content
Domain
Financial services / Investment management / Regulatory compliance
Required skills
Regulatory rule interpretation, marketing material review, compliance guidance, policy implementation, training delivery
Preferred skills
Investment adviser or broker-dealer experience, knowledge of asset classes and investment strategies
Technologies
SEC Rule 206(4)-1, FINRA Rule 2210, global regulatory regimes
Responsibilities
Review marketing and client-facing materials for regulatory compliance; Assess materials across asset classes for adherence to SEC, FINRA, and non-US regulations; Provide guidance to business development and investment professionals on compliant advertising; Interpret regulatory rules and translate them into actionable business guidance; Maintain industry and regulatory knowledge; Assist with updating compliance policies and procedures; Provide training to staff on compliance requirements
Seniority
Associate, individual contributor