Analyst, Compliance - Marketing
Core
Ensure marketing and advertising materials, including social media, meet regulatory requirements and internal standards for an investment management firm.
Role type
Analyst, Compliance - Marketing
Builds
Compliance review processes for marketing materials and social media monitoring
Domain
Financial Services / Investment Management
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory compliance knowledge, Social media monitoring, Marketing material review, Cross-functional collaboration, Project management, Advisory support
Preferred skills
FINRA Series 7 and 24 licensing, Prior compliance experience in investment management, Knowledge of diverse investment products (mutual funds, ETFs, fixed income, equities, alternatives)
Technologies
Social media monitoring tools, Compliance review technology processes
Responsibilities
Monitor social media activity for regulatory compliance, Develop and enhance technology processes for compliance review, Evaluate marketing content against policies, Apply compliance requirements across advisory activities, Contribute to compliance initiatives, Partner with global teams to deliver solutions
Seniority
Analyst, early-career