Top-Tier Investment Management firm in Midtown, Manhattan is seeking a Compliance AVP for a full-time position!
Responsibilities:
- Responsible for advertising and marketing compliance
- Respond to internal and external inquiries regarding regulatory requirements
- Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules
- Collaborate with the Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
- Effectively track advertising and sales literature using applicable methods and tools per industry/company record retention requirements.
- Participates in applicable projects to make significant structural changes to the advertising compliance review process.
- Review and approve sales and advertising literature for registered products, SMA’s.
- Develop and implement effective methods and best practices for reviewing marketing communications.
- Assist in researching and responding to comments and/or inquiries received from FINRA.
Qualifications:
- Bachelor’s Degree
- Series 7 & 24 are required
- Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry.
- Fundamental investment concepts, practices and procedures used in the securities industry.
- 4+ experience in asset management industry and understanding of securities laws.
- 2+ experience in the review of marketing material preferred
- Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations.
- Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
- Knowledge of financial markets and products.
- Familiarity with Red Oak Advertising Review and Record keeping System or a similar vendor preferred.
