Senior Marketing Compliance Analyst

Role Overview

• Support and enhance the firm’s US Marketing Compliance Program focusing primarily on compliance review of marketing materials for registered funds
• Advise stakeholders on the regulatory implication of complex marketing initiatives
• Maintain relevant policies and procedures
• Review marketing materials for funds to ensure compliance with regulatory guidelines including the Investment Company Act, SEC Marketing Rule, Rule 482, FINRA 2210 rule and internal policies and guidelines
• Provide regulatory advice to stakeholders on the application of the firm’s marketing guidelines related to the Investment Company Act
• Assist with drafting appropriate disclosures
• Conduct testing for compliance with applicable regulations and marketing policies and procedures
• Partner with EMEA and APAC compliance colleagues to maintain a coordinated approach over the firm’s global marketing compliance program and tools
• Monitor regulatory marketing-related developments, proposals and amendments and assess the compliance risk to the firm’s activities
• Assess compliance risks related to the firm’s marketing activities and communicate effectively with the business, including senior management
• Partner with business stakeholders to develop and deliver training, awareness initiatives, and related communications
• Maintain the firm’s marketing policies and procedures
• Assist with responding to examinations and inquiries by internal and external parties
• Assist with the maintenance of Marketing Compliance related applications.

Requirements

• 5+ years of relevant investment adviser, investment company compliance or compliance consultant experience
• Bachelor's degree in finance, business administration, economics, marketing, or other related field of study
• Direct experience reviewing marketing materials for 40 act registered funds (Privately offered fund marketing compliance experience a plus)
• Expertise in rules and regulations applicable to marketing activities with an emphasis on Investment Company Act, SEC Marketing Rule, FINRA Rule 2210, Rule 482
• Ability to apply analytical and decision-making skills in a collaborative and fast paced environment
• Ability to exercise sound judgement, balance regulatory and policy standards with a business perspective
• Ability to effectively prioritize tasks, consistently execute and meet strict deadlines
• Strong written and oral communication skills; confidence interacting with all levels of management
• Must have FINRA SIE, Series 7, and Series 24; candidate can obtain Series 24 after hire
• Experience using data analysis tools and/or other technology solutions to strengthen internal processes and reporting a plus

Benefits

• retirement plan
• health and wellbeing
• dental, vision, and pharmacy coverage
• health savings account
• flexible spending accounts
• commuter program
• employee assistance program
• life and disability insurance
• adoption assistance
• back-up childcare
• tuition/CFA reimbursement
• paid time off (leave of absence, paid holidays, volunteer, sick and vacation time)