Marketing Compliance Officer

Responsibilities

• Review marketing and advertising materials for proprietary and third-party funds and advisory programs to ensure compliance with the applicable FINRA and SEC marketing rules for the dually registered broker-dealer and investment adviser
• Draft appropriate disclosures for marketing and advertising materials
• Submit required marketing materials to FINRA and coordinate correspondence
• Adviser broker-dealer and investment advisers on marketing and advertising issues
• Aid in the preparation and filing of the annual Form ADV brochures, and amendments thereto for several registered investment advisers

Qualifications

• 2+ years of working experience with Advisers Act and FINRA regulations
• Understanding of wealth management and investment advisory products, including “wrap fee” separate account programs, private and registered investment funds, as well as the regulatory landscape of investment advisers and broker-dealers
• Ability to interpret legal and business terms and grasp concepts quickly
• Strong attention to detail, critical-thinking, and analytical skills
• Must be an ambitious, dedicated, and results-oriented individual that is an independent thinker and takes ownership of his/her work and enjoys collaborating within a team environment
• Proficient computer skills and knowledge of web browsers and web searching skills
• Strong written and verbal communication and presentation skills