Analyst/Associate Director Sales Practice Compliance
Babson Capital Management - Charlotte, NC

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The Analyst/Associate Director, Sales Practice Compliance, assists in the sales practice compliance of Babson Capital offices located in the US. Such activities include, but are not limited to; reviewing advertising and marketing materials utilized by the firm in the offering and placement of its investment advisory products and services to ensure those materials, and the manner in which they are distributed, comply with applicable securities laws and regulations and firm standards, including Global Investment Performance Standards. In addition, the Analyst/Associate Director may assist in developing and maintaining compliance practices for the conduct of business outside the US and participate in other sales practice initiatives from a compliance perspective, as needed. This position reports to the Managing Director of Sales Practice Compliance and is located in the Charlotte, NC office.

Key Responsibilities
  • Handle US sales practice compliance initiatives
  • Maintain and disseminate compliance requirements for conducting business in the US
  • Review advertising and marketing materials, press releases, requests for proposal, website postings, seminar presentations and other materials to verify consistency with applicable law, including SEC, FINRA and Global Investment Performance Standards, and applicable firm policy
  • Coordinate with the submitter of such material and legal counsel, as appropriate, to ensure that all compliance comments are understood and appropriately incorporated
  • Provide guidance to product management and other business personnel on relevant rules and marketing review procedures, including one on one conversations and larger group discussions
  • Work with marketing, distribution, product management, and legal personnel to understand business initiatives, determine impact on sales practices and anticipate future sales practice needs
Requirements
  • Bachelor’s degree required
  • FINRA Series 7 registration required
  • FINRA Series 24 registration preferred or commitment to obtain within 6 months of hire
  • A minimum of two years’ experience, preferably in distribution and sales practice compliance with a focus on fixed income and alternative products and strategies for institutional investors
  • Some knowledge of Global Investment Performance Standards (GIPS) preferred
  • Exceptional interpersonal and verbal and written communication skills
  • Knowledge of SEC and FINRA advertising/marketing rules and regulations
  • Ability to balance multiple projects and meet tight deadlines

Babson Capital Management - 21 months ago - save job - copy to clipboard - block
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