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client, a global banking and financial services company, is seeking a Marketing and Compliance Manager in their midtown location.
Review and provide compliance guidance about the product marketing and training materials (including mutual funds, ETFs, separately managed accounts, private equity funds, private placements, retirement services, and any other new products) produced by the business channels.
Act as subject matter expert regarding marketing and communications related regulatory guidelines (including FINRA, SEC, GIPS, etc).
Assist with developing, revising and implementing policies and procedures regarding marketing review activities and regulatory developments.
Complete oversight of business units' compliance with marketing materials policies.
Monitoring all submissions of materials in timely fashion and ensure the quality and timing of reviews.
Complete and timely regulatory filing of materials with FINRA, and record keeping of such filings.
Special projects, maintain team updates for regular management reporting, maintain team review statistics, CRS (Compliance Review system) functionality and IT enhancements, cross training, resolve issues and provide solutions.
Complete review and provide approval of communications material for consistency with internal firm policies and any applicable regulatory standards with a specific focus on Alternatives and/or other Institutional Products (SMAs, Private Placements, etc)
Provide support with reporting, record keeping, regulatory filings and workflow maintenance.
5-7 years experience with marketing reviews and advertising material - with a special focus on Institutional and Alternatives products.
Experience with and ability to handle a fast paced and demanding work environment is very important.
Ability to work independently and as part of a team.
Interpersonal skills to interface with various business units.
Strong analytical skills.
Strong attention to detail.
Strong project management skills.
Ability to communicate issues to senior management in an effective and succinct manner.
High proficiency in written and oral communication skills.
Strong practical experience using of Microsoft Word, Excel, PowerPoint and SharePoint.
Series 7 and 24 (required).
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