Green Key Resources
Compliance- Marketing and Advertising Review
Green Key Resources, New York, New York, us, 10261
Overview
Base pay range: $120,000.00/yr - $160,000.00/yr Additional compensation types: Annual Bonus Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules. Responsible for rules- and principles-based reviews of advertisements and correspondence from FINRA and SEC perspectives. Respond to internal and external inquiries regarding regulatory requirements. Responsibilities
Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials. Develops and maintains guidelines, manuals and processes for the review of advertising. Review and approve sales and advertising literature for registered products, SMA's. Develop and implement effective methods and best practices for reviewing marketing communications. 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. Assist in researching and responding to comments and/or inquiries received from FINRA. Remain current and anticipate changes in the regulatory environment and/or reputational risks to the firm that may affect the firms review standards and marketing communications. Serve as primary contact for advertising compliance issues with the Firm's FINRA analyst. Assist with special projects, as requested. Qualifications
Education & Experience: Bachelors Degree required. FINRA 7 and 24 licenses required. 4+ experience in asset management industry and understanding of securities laws. 2+ experience in the review of marketing material preferred Knowledge: Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations. 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. Knowledge of financial markets and products. Familiarity with Red Oak Advertising Review and Recordkeeping System or a similar vendor preferred. Skills and Abilities: Ability to handle multiple responsibilities across multiple entities and work independently. Ability to interact professionally and effectively with internal and external contacts using tact, discretion and good judgment. Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk. Excellent analytical and research skills. Ability to work in team-oriented environment. Excellent written and verbal communication skills. Ability to prioritize and organize workload, multi-task and adapt quickly to change, and deliver under the pressure of deadlines. Ability to provide and receive constructive criticism and manage expectations. Seniority level
Associate Employment type
Full-time Job function
Finance
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Base pay range: $120,000.00/yr - $160,000.00/yr Additional compensation types: Annual Bonus Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules. Responsible for rules- and principles-based reviews of advertisements and correspondence from FINRA and SEC perspectives. Respond to internal and external inquiries regarding regulatory requirements. Responsibilities
Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials. Develops and maintains guidelines, manuals and processes for the review of advertising. Review and approve sales and advertising literature for registered products, SMA's. Develop and implement effective methods and best practices for reviewing marketing communications. 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. Assist in researching and responding to comments and/or inquiries received from FINRA. Remain current and anticipate changes in the regulatory environment and/or reputational risks to the firm that may affect the firms review standards and marketing communications. Serve as primary contact for advertising compliance issues with the Firm's FINRA analyst. Assist with special projects, as requested. Qualifications
Education & Experience: Bachelors Degree required. FINRA 7 and 24 licenses required. 4+ experience in asset management industry and understanding of securities laws. 2+ experience in the review of marketing material preferred Knowledge: Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations. 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. Knowledge of financial markets and products. Familiarity with Red Oak Advertising Review and Recordkeeping System or a similar vendor preferred. Skills and Abilities: Ability to handle multiple responsibilities across multiple entities and work independently. Ability to interact professionally and effectively with internal and external contacts using tact, discretion and good judgment. Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk. Excellent analytical and research skills. Ability to work in team-oriented environment. Excellent written and verbal communication skills. Ability to prioritize and organize workload, multi-task and adapt quickly to change, and deliver under the pressure of deadlines. Ability to provide and receive constructive criticism and manage expectations. Seniority level
Associate Employment type
Full-time Job function
Finance
#J-18808-Ljbffr