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