Marketing Compliance Associate

Responsibilities: 

• Review of marketing materials submitted for distribution with Compliance personnel. 
• Provide global administration of the marketing material review and approval system. 
• Conduct compliance training for Marketing, Sales and Investment personnel relating to regulatory requirements and industry best practices to facilitate the creation and use of marketing materials. 
• Monitor and test compliance with the Company's marketing related compliance policies and procedures, and regulatory requirements in support of the CCO's Rule 206(4)-7 obligations, on a risk assessed basis, 
• Implement, update and inorporate Compliance policies and procedures in line with applicable regulatory requirements and industry best practices.   
• Adhoc duties as necessary. 

Qualifications:

• 4+ years of related experience with global asset management businesses and regulatory environments. 
• FINRA Series 7 and 24 license preferred.
• Knowledge of the FINRA and SEC regulatory requirements relating to advertising and marketing materials. 
• Ability to analyze and assess the current state, identify gaps and develop plans for continuous improvement.
• Excellent communication and relationship building skills.  The role must be an advisor and partner to the business who helps the business understand the regulatory requirements and finds solutions where possible. 

This Marketing Compliance Associate role is located in Manhattan New York so please only apply if you are able to travel to this location and have relevant recent experience. The salary is flexible dependent on experience however the initial range is $100-120k base plus bonus. If your profile matches the above criteria, please contact me on **lynda.barry@roberthalffs.com**