Advertising/Marketing Compliance Analyst Covestor
THIS JOB HAS EXPIRED We are an online asset management marketing platform seeking a compliance analyst with experience in the asset management industry. The candidate will be primarily responsible for the review of model manager and internally generated advertising materials, market commentary and sales literature for a registered investment adviser to ensure compliance with applicable SEC rules and regulations.
Communicating required edits, explaining their regulatory basis - must be creative in suggesting compliant alternatives to address identified issues.
Responding to inquiries from business colleagues concerning sales and marketing materials
Developing training materials
Developing additional disclosures when necessary
Maintaining complete files for all sales and marketing materials in compliance with regulatory requirements
Additional responsibilities may include projects such as; maintaining current the Electronic Communications Policy, procedures, and disclosure library, assisting with social media monitoring and archiving, as well as assisting with registration of Adviser Representatives. The Analyst will also be expected to utilize automated systems sponsored by regulators such as FINRA (i.e. IARD) within the normal course of business.
Candidates should possess strong analytic skills and the ability to influence and partner with business colleagues in a professional and self-assured manner.
A positive attitude and willingness to engage in broader areas of compliance is a must given current team staffing levels.
College degree with a minimum of 3-5 years relevant work experience with an asset management firm.
Solid knowledge of the Investment Advisers Act of 1940, especially the advertising rules and underlying interpretations is required.
Experience with FINRA advertising regulations is desirable, as well as current knowledge of social media regulatory issues.
Strong oral and written communication skills
Excellent project management and organizational skills with an attention to detail
Team player but ability to work independently
Position will report to the General Counsel/Chief Compliance Officer in charge of the area.
||Boston, MA |
THIS JOB HAS EXPIRED