jw michaelsNew York, NY
Compliance Professional - Marketing Review
Compliance Professional - Marketing Review
Compliance Professional - Marketing Review
jw michaelsNew York, NY
2 days ago
Investment Banking and Securities IntermediationOther Services Related to AdvertisingPortfolio Management and Investment Advice
Apply for this role →About the Role:
Our client is seeking a Marketing Review and Regulatory Compliance Professional to review marketing materials for regulatory compliance while supporting the firm's broader compliance program.
Responsibilities:
Review marketing materials, advertisements, and client communications for compliance with SEC Marketing Rule, FINRA advertising rules, and related regulations Maintain records of reviewed materials per recordkeeping requirements Support compliance policies, testing, and regulatory filings (e.g., Form ADV, Form PF)Monitor regulatory developments and assist with exam responses Train marketing and sales staff on compliance requirements Partner with legal, marketing, and investment teams to resolve compliance issues
Qualifications:
Bachelor's degree 5+ years in compliance or marketing review within asset management Strong knowledge of SEC/FINRA marketing and advertising regulations Series 7 and 24 preferred Strong attention to detail and communication skills
Also on the board Same function, level within a rung
Level
Senior
Location
New York, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
2 days ago