The Compliance Analyst will be primarily responsible for carrying out the firm’s compliance program with respect to its marketing activities, including the design, implementation and execution of the firm’s marketing policies and procedures. The Compliance Analyst will be a member of the Regulatory Compliance team within the Legal and Compliance Group working under the direction of the Compliance Manager and with other attorneys and compliance professionals.
The Compliance Analyst’s responsibilities include:
• Oversee the execution of the firm’s program for the review and supervision of institutional and retail marketing activities;
• Provide advice on the application of the firm’s marketing guidelines to business representatives in their preparation of marketing materials and other external communications;
• Perform reviews of marketing materials for and conduct testing of compliance with applicable regulations and marketing policies and procedures;
• Conduct due diligence of marketing controls and processes related to strategic arrangements with third parties;
• Assess compliance risks related to the firm’s marketing activities and communicate effectively with the business, including members of senior management;
• Coordinate with global compliance professionals to maintain a consistent and global compliance program over the firm’s marketing activities;
• Monitor regulatory developments regarding advertising and marketing and assess impact to the firm’s activities as appropriate;
• Liaise effectively with business representatives on training, awareness and communication needs. Develop and deliver such trainings and communications as appropriate;
• Maintain and revise the firm’s marketing policies and procedures and related training content;
• Assist with examinations and reviews by internal and external parties;
• Perform special projects and other duties as assigned.
• Undergraduate degree and minimum 5 – 7 years of experience with investment adviser and broker-dealer, to include experience with marketing review;
• Detailed knowledge of rules and regulations applicable to marketing and communications activities with an emphasis on SEC, FINRA, CFTC and NFA advertising and sales literature compliance;
• Knowledgeable about comparable non-US laws and regulations preferred;
• Knowledgeable about GIPS® standards and guidelines with respect to composite construction and performance presentations;
• Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment.;
• Service oriented: ability to balance regulatory and policy standards along with a business perspective;
• Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines;
• Superior written and oral communication skills; confidence interacting with all levels of management;
• NASD Series 7 and 24 required
Wellington Management - 2 years ago
If Napoleon had met this Wellington, Waterloo would have taken on a whole new meaning: sound asset management. Wellington Management...