§ Assist in the compliance reviews of mutual fund and separate account marketing materials.
§ Coordinate and monitor FINRA, filings, tracking, and reporting.
§ Ensure files are maintained in accordance with firm and industry requirements.
§ Act as a liaison between the Marketing and Legal & Compliance departments.
§ Ensure all regulatory comments are addressed as required.
§ Minimum 2 years of compliance experience, preferred.
§ General knowledge of broker-dealer and investment advisor advertising rules.
§ Problem solving and analytical abilities.
§ Bachelor’s degree required.
§ FINRA Series 7, 24, 63 within 6 months.
§ Excellent writing, organizational and negotiating skills.
§ FINRA Series 7, 24, 63