Analyze marketing and firm communications across multiple delivery channels (website and print sales material, research papers, client presentation materials and RFP responses, etc.) ensuring all materials and associated disclosures are in compliance with applicable regulation and policies. When needed, propose edits to ensure compliance.
Collaborate with marketing and investment product staff by providing guidance and feedback for planned marketing materials, webcast content, and conference presentations.
Provide communications review and surveillance support for social media
Advise sales and marketing teams on compliance-related issues
Assist with departmental compliance projects as assigned, such as annual compliance testing, supporting new product launches, and creating processes and drafting procedures for compliance related activities.
Provide general compliance support to the sales channels
Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation
Administer compliance software used by Distribution Compliance team
Help coordinate and conduct Compliance training

Bachelor’s degree
5+ years of professional work experience; 2+ years in a compliance related field
Understanding of the financial services industry and experience applying marketing and advertising rules and regulations (Investment Advisers Act, Investment Company Act, SEC and FINRA regulations, etc.)
Exceptional interpersonal and relationship management skills; ability to interact with all levels of employees
Strong oral and written communication skills
Ability to operate and prioritize in a fast-moving & demanding environment and deal with complex situations
Technical and professional skills or knowledge of testing methodology, risk and controls analysis
Strong analytical mindset with an ability to synthesize data; detail oriented with a focus on quality results
Ability to be self-guided and motivated, working to complete tasks thoroughly and requesting assistance if needed
Ability to maintain confidentiality and data accuracy when handling sensitive information
Proficiency with Microsoft Office Product Suite
Series 7 and Series 24 or working towards Series 24 preferred; must complete within 1 years in role

Senior Compliance Analyst

Key skills