Compliance Specialist – Marketing Compliance

Responsibilities

• Interpret and apply knowledge of rules and regulations to correspondence, sales literature, advertisements, institutional material, RFPs, and other types of communication to ensure compliance with applicable regulations
• Review complex materials in a timely manner, communicate comments effectively and work with business partners for creative solutions to issues
• Aid in the documentation of various policies, procedures, and memos
• Aid in annual compliance inspections and surveillances, including the use of the Firm’s trade surveillance tool
• Research and respond to internal and external compliance-related inquiries
• Draft and review compliance-related responses to RFPs
• Prepare documentation for due diligence meetings, compliance meetings and regulatory examinations
• Participate in various compliance group projects and initiatives

Qualifications

• Strong analytical skills and attention to detail
• Bachelor’s degree in Finance, Accounting, Economics, or Business Administration, or equivalent financial industry experience
• 5+ years in the financial services industry; asset management preferred
• Knowledge of SEC and FINRA marketing rules
• Knowledge of Non-U.S. rules relating to the marketing of UCITS and private funds is a plus
• Knowledge of equity and fixed income markets, trading practices, and related instruments
• FINRA SIE, 7 and 24 licenses or ability to obtain them
• Proficiency in Microsoft Office Applications, strong Excel skills (required)
• Experience working with Red Oak AdMaster, Global Relay, or Tableau (a plus)
• Ability to make independent judgments and handle confidential information
• Strong written communication skills
• Ability to demonstrate resourcefulness, creativity, and initiative by identifying opportunities to enhance existing processes and implementing, as appropriate
• Solid interpersonal and communication skills, including a high degree of client service-mindedness

Pay

Base Salary Range: $100,000 - $175,000

Specific placement within the provided range will be determined by an individual’s geographic location as well as relevant experience and skills for the role.