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Marketing Compliance Officer

2 months ago

new york city, United States JCW Full time

A leading global Investment Management firm is looking for Compliance Officer to join the compliance team and assist in the oversight of the Marketing Review and Regulatory Compliance functions.


Responsibilities

  • Conducting Marketing reviews and approving relevant institutional marketing documents.
  • Assist the firm with 1940 Act issues along with 15c responses.
  • Support the compliance team as a Compliance generalist.



Qualifications

  • 3+ years of compliance experience.
  • Knowledge of SEC and FINRA regulatory frameworks.
  • Experience with reviewing multiple forms of Marketing Materials including Social Media, Pitch Books, etc.