This job ad has been posted over 40 days ago...
Marketing Compliance Review
at The Compliance Search Group in New York
Responsibilities:
Marketing
• Review institutional (equity and fixed income) and retail (sub-advisory and managed account) client marketing materials
• Review RFPs and due diligence questionnaires
• 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 marketing of funds. Familiarity with FINRA preferred.
• Manage international reporting requirements
Other Compliance Monitoring
• Assist with FCPA certification
• Conduct routine and ad hoc surveillance of e-mail to identify issues for potential escalation. Assist with design of program to satisfy policy objectives and maximize effectiveness.
Requirements
• 3 - 5 years experience in a marketing material review position in an investment advisory firm.
• A working knowledge of the regulatory environment (SEC, FINRA, GIPS) is required in order to apply the appropriate disclosures to materials.
• Working knowledge of GIPS
• Familiarity with broker/dealer (FINRA) advertising rules in order to support materials discussing products distributed through the broker/dealer (PIMS) is a plus
Please submit resume to Jack Kelly, JKelly@ComplianceSearch.com
Marketing
• Review institutional (equity and fixed income) and retail (sub-advisory and managed account) client marketing materials
• Review RFPs and due diligence questionnaires
• 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 marketing of funds. Familiarity with FINRA preferred.
• Manage international reporting requirements
Other Compliance Monitoring
• Assist with FCPA certification
• Conduct routine and ad hoc surveillance of e-mail to identify issues for potential escalation. Assist with design of program to satisfy policy objectives and maximize effectiveness.
Requirements
• 3 - 5 years experience in a marketing material review position in an investment advisory firm.
• A working knowledge of the regulatory environment (SEC, FINRA, GIPS) is required in order to apply the appropriate disclosures to materials.
• Working knowledge of GIPS
• Familiarity with broker/dealer (FINRA) advertising rules in order to support materials discussing products distributed through the broker/dealer (PIMS) is a plus
Please submit resume to Jack Kelly, JKelly@ComplianceSearch.com
Published at 05-03-2010
Viewed: 33 times
Viewed: 33 times