Marketing Compliance Senior Analyst
Core
Review marketing materials for alternative investments and registered funds to ensure compliance with regulatory guidelines and advise stakeholders on regulatory implications.
Role type
Senior IC marketing compliance analyst
Builds
Marketing compliance program, policies, procedures, and training initiatives for alternative investments and registered funds
Domain
Investment management / Financial services / Regulatory compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Reviewing marketing materials for 40 Act registered funds and alternative investments, expertise in Investment Company Act, SEC Marketing Rule, FINRA Rule 2210, Rule 482, drafting disclosures, conducting compliance testing, monitoring regulatory developments, assessing compliance risks, developing training initiatives, maintaining policies and procedures, responding to examinations and inquiries, maintaining compliance applications
Preferred skills
Experience with technology and AI tools to strengthen internal processes and reporting
Technologies
Technology and AI tools
Responsibilities
Review marketing materials for alternative investments and registered funds to ensure compliance with regulatory guidelines including the Investment Company Act, SEC Marketing Rule, Rule 482, FINRA 2210 rule and internal policies and guidelines; Provide regulatory advice to stakeholders on the application of the firm's marketing guidelines related to the Investment Company Act; Assist with drafting appropriate disclosures; Conduct testing for compliance with applicable regulations and marketing policies and procedures; Partner with EMEA and APAC compliance colleagues to maintain a coordinated approach over the firm's global marketing compliance program and tools; Monitor regulatory marketing-related developments, proposals and amendments and assess the compliance risk to the firm's activities; Assess compliance risks related to the firm's marketing activities and communicate effectively with the business, including senior management; Partner with business stakeholders to develop and deliver training, awareness initiatives, and related communications; Maintain the firm's marketing policies and procedures; Assist with responding to examinations and inquiries by internal and external parties; Assist with the maintenance of Marketing Compliance related applications.
Seniority
Senior, hands-on IC