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A highly regarded Investment Management firm seeks a Marketing Material Review Compliance Specialist in Boston, MA.
The ideal candidate will be an intelligent, energetic and goal-oriented, a conceptual thinker with the ability to quickly assess situations and exercise sound business judgment. The Compliance Specialist is responsible for providing support to the Legal and Compliance Team in the development and maintenance of the overall compliance programs of the firm and its subsidiaries. The Compliance Specialist will need to be comfortable with daily interactions with members of the Sales & Marketing Team in a smaller office environment.
Marketing/Advertising Legal Review
As a member of a Marketing Review Team, support the Compliance Director in ensuring marketing materials and their use by Sales & Marketing are compliant, including:
Reviewing regular quarterly and ad hoc marketing materials for compliance with applicable regulatory requirements
Reviewing Requests for Proposals ("RFPs"), Requests for Information, Due Diligence Questionnaires, and other data requests for compliance with applicable regulatory requirements and accuracy
Working with the RFP Team to review and update the RFP database, draft responses to new inquiries, and establish a communication channel to ensure business updates are proactively conveyed to the RFP Team
Collaborating with the Sales & Marketing Team in assessing the viability of new or customized marketing materials, the use of new forums or new ad campaigns
Drafting disclosures for inclusion in marketing materials
Updating the master database of SEC and FINRA required disclosures in response to new or revised regulations or FINRA comments
Assisting in the preparation of training materials for the Sales & Marketing Team when using specific types of materials.
Supporting the maintenance of appropriate records for marketing materials
Filing required pieces with the FINRA Advertising Regulation Electronic Files ("AREF") System
Reviewing social media postings for compliance with applicable regulatory requirements
Proactively monitoring regulatory developments affecting communications and marketing initiatives and working with the Compliance Director to develop and implement operational changes, guidelines and training materials
Additional Compliance Responsibilities
Assist in the preparation of broker-dealer SEC and other regulatory filings, including Form BD and Form BR
Preparing filings with FINRA, including Continuing Membership applications
Participating in the process for reviewing and tracking outside business activities and private securities transactions for registered persons
Assist in the review and evaluation of any complaints received and assist with appropriate escalation and/or filings with regulators as necessary
Manage firm wide gift reporting
Substantively review subadvisers' policy/procedure submissions, Form ADV updates and third-party internal control reports.
Perform review of monthly, quarterly and annual subadviser materials
Participate in subadviser due diligence visits as requested and prepare compliance reports of visits
Assisting in the formulation of a forensic testing plan
Developing and conducting various forensic tests
Assisting in conducting annual compliance inspections of firm's operations
Assisting in the preparation of inspection reports and annual compliance reports
Assisting in responding to internal and external audits
Participating in various data protection, privacy and information security initiatives
Support the Compliance Director in maintaining the blue sky qualifications of the firm
Understanding securities laws related to records retention and following departmental procedures related to the maintenance of hardcopy and electronic records for all assigned duties.
Bachelor's Degree or equivalent
Five or more years' experience as a legal & compliance professional supporting the compliance function for a mutual fund firm, either in a law firm or as a member of industry, with direct experience reviewing and approving marketing/advertising materials
Understand rules and regulations under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and other related securities and corporate law that apply to the business and operations of the firm and its subsidiaries.
Understand FINRA rules applicable to the firm and experience with applying FINRA rules and knowledge of the Central Registration Depository ("CRD") system
Willingness to attain the FINRA Series 6 or 7 and 26 or 24 exams as needed to support the job functions if not already registered
Committed to maintaining the highest ethical standards
KNOWLEDGE, SKILLS & ABILITIES REQUIRED
Independent, self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment
Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy
Demonstrates drive for continuous improvement and pursuit of challenging goals
Excellent oral and written communication skills are required
Highly proficient with Microsoft Word, Excel and Outlook and skilled generally with learning and administering technological applications
Are you interested in this position or know someone that might be?
Please send your resumes to Michael Tuller at email@example.com or contact at (212) 997-3169.