Consultant, Compliance (Marketing)

$100,000 - $109,000 yearly
  • The Resume Review - Recruiting Department
  • Feb 17, 2021
Full time Accounting Finance

Job Description

Job description

 

Work closely with the executive leadership team in Compliance to develop, administer, and update the marketing review framework and related compliance policies and procedures designed to comply with the Investment Company Act, the Investment Advisers Act of 1940 and FINRA rules. •Manage the development and administration of the marketing review compliance programs and assist in defining and developing risk parameters, process efficiencies, policies and controls. •Assist in the performance of testing and oversight of the marketing policies and procedures applicable to adviser entities and funds. •Partner with Legal, the RFP, Marketing and Performance teams to administer compliance responsibilities and to advise on regulatory risks and requirements. •Liaise with management and different departments regarding special projects and regulatory initiatives and provide guidance and analysis of rules and/or firm policies, as appropriate. •Assist in implementing new rules and processes. •Coordinate and assist in regulatory examinations and/or audits and prepare information as needed. •Understanding of changing marketing environment including social media and increased use of digital platforms. •Manage ad hoc projects, as needed.
Qualifications: Qualifications
•Minimum of 5 years of experience in marketing at an asset management firm
•Strong familiarity with the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and related SEC guidance, FINRA rules and guidance applicable to marketing, 1933 Act rules applicable to funds
•Strong analytical and communication skills
•Familiarity with Red Oak and Seismic preferred but not required.