Overview

A global investment management company that has successfully served clients for nearly a century, seeks a Compliance professional. This mission-critical role calls for a Compliance person with advertising, marketing materials, sales literature, RFP review experience. 

This is a great opportunity to work at a top well-respected money management firm. The team that you’ll work with are a group of wonderful, supportive people. You will be able to learn a lot and grow your career.

This is what you’ll be involved with: 

  • The Senior Compliance Analyst will review marketing material for consistency with U.S. and international regulatory standards.
  • Train marketing staff on rules and regulations relating to global marketing materials
  • Utilize technology to assist the firm in achieving an efficient marketing material review process
  • Create summary reports to Compliance and Business Management that detail compliance findings and corrective actions
  • Conduct spot checks of business units to verify adequate controls
  • Assist in drafting compliance policies and procedures

 Here’s what the manager would like to see in an applicant:

  • Possess knowledge of financial services industry as well as mutual funds, Collective investment trusts, ETFs, UCIT Funds, managed accounts, private placements
  • At least 3-5 years of marketing review experience
  • Series 7 and Series 24 preferred (or willing to obtain upon joining)
  • Strong working knowledge of global securities laws, rules, and regulations relating to marketing material
  • Strong analytical and writing skills
  • Proficiency with electronic document management software and systems
  • Experienced in using Outlook, Excel, PowerPoint, Adobe, SharePoint

 Please email resumes to Jack Kelly at JKelly@ComplianceSearch.com

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