This job ad has been posted over 40 days ago...
Marketing Compliance Review Position reporting to Senior Compliance Analyst
at The Compliance Search Group in New York, NY
Applicants should have 3 - 5 years experience reviewing marketing material in an SEC registered investment advisory firm. Applicant must have a working knowledge of the Advertising Rule under the Investment Advisers Act of 1940 as well as other regulatory and industry advertising guidance (SEC No-Action Letters, GIPS). Familiarity with FINRA marketing requirements is a plus. Position performs the compliance review of marketing material for content and disclosure before it is distributed.
Responsibilities:
Marketing
• Review institutional (equity and fixed income) and retail (sub-advisory and managed account) client marketing materials to ensure content adheres to IA regulatory guidance and is in compliance with GIPS.
• Review RFPs and due diligence questionnaires and coordinate completion of compliance relevant sections with the entire compliance team.
• Coordinate with Marketing, Legal and the Business on marketing materials for new strategies and products as well as the development of GIPS composite presentations.
• Coordinate with Legal on international marketing materials (determining licensing and disclosure requirements for the respective country)
• Develop disclosures where needed.
• Assist with developing / monitoring policies and procedures related to marketing of mutual funds and hedge funds. Familiarity with FINRA advertising material and correspondence is preferred.
• Manage international reporting requirements.
Other Compliance Monitoring
• Assist with FCPA certification.
• Conduct routine and ad hoc surveillance of e-mail for the investment adviser to identify issues for potential escalation. Assist with design of program to satisfy policy objectives and maximize effectiveness.
Requirements
• Strong analytical qualities – capability to research regulations and guidance and reach independent decisions about appropriate marketing content.
• Excels in intercommunications and interactions with business, compliance, legal, marketing, etc.
• Working knowledge of GIPS, the Advertising Rule under the Investment Advisers Act of 1940 as well as other regulatory and industry advertising guidance (SEC No-Action Letters).
• Familiarity with broker/dealer (FINRA) advertising rules in order to support materials discussing products distributed through the broker/dealer is a plus.
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
Responsibilities:
Marketing
• Review institutional (equity and fixed income) and retail (sub-advisory and managed account) client marketing materials to ensure content adheres to IA regulatory guidance and is in compliance with GIPS.
• Review RFPs and due diligence questionnaires and coordinate completion of compliance relevant sections with the entire compliance team.
• Coordinate with Marketing, Legal and the Business on marketing materials for new strategies and products as well as the development of GIPS composite presentations.
• Coordinate with Legal on international marketing materials (determining licensing and disclosure requirements for the respective country)
• Develop disclosures where needed.
• Assist with developing / monitoring policies and procedures related to marketing of mutual funds and hedge funds. Familiarity with FINRA advertising material and correspondence is preferred.
• Manage international reporting requirements.
Other Compliance Monitoring
• Assist with FCPA certification.
• Conduct routine and ad hoc surveillance of e-mail for the investment adviser to identify issues for potential escalation. Assist with design of program to satisfy policy objectives and maximize effectiveness.
Requirements
• Strong analytical qualities – capability to research regulations and guidance and reach independent decisions about appropriate marketing content.
• Excels in intercommunications and interactions with business, compliance, legal, marketing, etc.
• Working knowledge of GIPS, the Advertising Rule under the Investment Advisers Act of 1940 as well as other regulatory and industry advertising guidance (SEC No-Action Letters).
• Familiarity with broker/dealer (FINRA) advertising rules in order to support materials discussing products distributed through the broker/dealer is a plus.
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
Published at 05-03-2010
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