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Compliance Officer, Marketing

3 months ago

Boston, United States Howard Sloan Search Full time

Compliance Officer, Marketing.

This position is on the Distribution Compliance team and is responsible for supporting the distribution and marketing organizations within the firm. The primary focus of this role is the review of marketing and advertising materials, including social media. The ideal candidate will be an intelligent, energetic and goal-oriented, conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment

This is a hybrid work opportunity based in Boston, MA or Chicago, IL

KEY RESPONSIBILITIES

Review & approve marketing materials to ensure compliance with applicable regulations: FINRA, SEC, NFA & GIPS and filing of materials with regulators as needed

Assess how existing regulations apply to various categories of communications including retail communications, institutional sales literature, and internal use only materials

Draft new disclosure language as needed & maintain disclosures libraries

Assist in the development & delivery of training materials

Work collaboratively with the Marketing & Distribution teams on new initiatives, including social media campaigns

Assist with various compliance monitoring activities

Implement and enhance compliance policies, procedures, and processes as requested

Produce team reporting metrics

MINIMUM QUALIFICATIONS

Bachelors Degree or equivalent required

A minimum of 5 years of compliance experience in a financial services firm, including advertising review experience concerning mutual funds, ETFs, and multi-asset products and solutions

SIE, Series 7, and Series 24 licenses required

Experience operating in a manager-of-managers structure would be a plus

Experience with Red Oak or similar advertising review software a plus

An interest in a compliance career within the financial services industry and understanding of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations