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Senior Analyst, Compliance Marketing Review

2 months ago

New York, United States Carlyle Full time
Basic information

Job Name:

Senior Analyst, Compliance Marketing Review

Location:

New York/OVA

Line of Business:

Legal & Compliance

Job Function:

Investor Services

Date:

Tuesday, January 9, 2024

Position Summary

This is an in-house compliance position within Carlyle's Global Legal & Compliance department. Primarily, the candidate will review and approve Carlyle's marketing materials for the wealth management group from a regulatory, legal, and compliance perspective. He or she also may assume broader responsibilities within the Compliance department, as appropriate.

Among other things, the role involves:

  • Utilizing a third-party compliance tool to review, comment, and approve marketing materials for Carlyle products across segments (including but not limited to materials for the wealth management group).
  • Responsible for submitting marketing materials for FINRA's review (as applicable) and corresponding with FINRA.
  • Being a subject matter expert regarding the SEC and FINRA marketing rules, in particular rules related to retail communications.
  • Developing, enhancing and regularly updating marketing guidelines and process documents, including but not limited to a disclaimers library that includes all legends and cover page disclosures that can be consistently applied to Carlyle's marketing materials.
  • Overseeing the compliance process for the preparation of marketing materials in accordance with best practices.
  • Reviewing, approving materials for Carlyle's global investor conferences.
  • Reviewing and approving marketing posts on social media or other public websites on a regular basis.
  • Assisting with training initiatives for Carlyle's wealth management team and products specialists.
  • Working closely with IT on compliance technology projects related to the marketing function.
The applicant should have excellent time-management and prioritization skills, as this is a fast-paced role supporting a number of business teams.

This role can be in New York, NY, Washington, DC or completely remote.

Responsibilities
  • Assist with marketing materials review and approval for fund-related materials and presentations used in firm events, annual conferences, sponsored symposiums, etc. (90%)
  • Complete other broker-dealer compliance tasks as appropriate. (10%)
Qualifications
  • Bachelor's Degree
  • Securities licenses (FINRA Series 24, Series 7 or 82 required)
  • 3+ years of relevant experience
  • Knowledge of alternative asset management industry (especially experience in semi-liquid SEC registered funds) required
  • Strong project management skills and ability to multi-task and work across multiple groups
  • Ability to manage multiple requests in demanding, fast paced environment with constantly changing needs
  • Highly professional with strong communication skills
  • Ability to multi-task and prioritize in a fast-paced and continuously changing environment.
  • Be able to respect highly confidential information and work in a confidential environment.


Benefits/Compensation

The compensation range for this role is specific to New York City and takes into account a wide range of factors including but not limited to the skill sets required/preferred; prior experience and training; licenses and/or certifications.

The anticipated base salary range for this role is $90,000 to $130,000.

In addition to the base salary, the hired professional will enjoy a comprehensive benefits package spanning retirement benefits, health insurance, life insurance and disability, paid time off, paid holidays, family planning benefits and various wellness programs. Additionally, the hired professional may also be eligible to participate in an annual discretionary incentive program, the award of which will be dependent on various factors, including, without limitation, individual and organizational performance.

Due to the high volume of candidates, please be advised that only candidates selected to interview will be contacted by The Carlyle Group.

Company Information

The Carlyle Group (NASDAQ: CG) is a global investment firm with $381 billion of assets under management and more than half of the AUM managed by women, across 562 investment vehicles as of March 31, 2023. Founded in 1987 in Washington, DC, Carlyle has grown into one of the world's largest and most successful investment firms, with more than 2,100 professionals operating in 29 offices in North America, South America, Europe, the Middle East, Asia and Australia. Carlyle places an emphasis on development, retention and inclusion as supported by our internal processes and seven Employee Resource Groups (ERGs). Carlyle's purpose is to invest wisely and create value on behalf of its investors, which range from public and private pension funds to wealthy individuals and families to sovereign wealth funds, unions and corporations. Carlyle invests across three segments - Global Private Equity, Global Credit and Investment Solutions - and has expertise in various industries, including: aerospace, defense & government services, consumer & retail, energy, financial services, healthcare, industrial, real estate, technology & business services, telecommunications & media and transportation

At Carlyle, we know that diverse teams perform better, so we seek to create a community where we continually exchange insights, embrace different perspectives and leverage diversity as a competitive advantage. That is why we are committed to growing and cultivating teams that include people with a variety of perspectives, people who provide unique lenses through which to view potential deals, support and run our business.