Your Role:We are seeking a highly motivated and detail-oriented professional to join our Compliance Marketing Review team at the Associate level, depending on prior experience and other qualifications. The ideal candidate will play a key role in supporting the firm's global marketing and business development initiatives by reviewing and advising on a broad range of marketing materials to ensure compliance with regulatory requirements and internal standards. This role offers exposure to various investment strategies, product vehicles, and senior stakeholders across the firm.
Responsibilities Include:- Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes, and social media content.
- Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm policies.
- Apply expertise in the review of complex presentations, including hypothetical and back-tested performance, reviewing for regulatory compliance.
- Provide proactive, clear, and solution-oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices.
- Interpret and communicate about relevant regulatory rules and developments, translating them into actionable compliance and business guidance.
- Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant rulemaking initiatives, risk alerts and other regulatory matters.
- Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures.
- Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.
What You'll Bring: - Bachelor's degree
- 3-5 years minimum experience reviewing marketing material, preferably with an investment adviser or broker-dealer
- Series 7 and 24 licenses required
- Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules, regulations, and interpretive guidance
- Well organized, strong communication skills, detail-oriented and responsive
- Ability to provide accurate, direct and practical advice in a timely fashion
- Proactive time management skills and the ability to manage projects independently
- Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment
- Role requires work outside of regular business hours on an as needed basis, including monitoring email during evenings and weekends
The salary range for this role is expected to be $120,000 to $140,000. This is the range that we in good faith believe is accurate for this role at the time of this posting. We may ultimately pay more or less than the posted range, depending upon factors such as skills, experience, location, or other business and organizational needs. This wage range may also be modified in the future.
This job is also eligible for an annual discretionary bonus.
We offer comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.
Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, benefits, or any other form of compensation and benefits that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law.
