A company is looking for a Compliance Officer, Marketing and Advertising.
Key Responsibilities
Review and approve marketing and advertising materials for compliance with SEC regulations and firm policies
Stay updated on regulatory developments and enhance advertising review documentation
Support the Compliance team in engaging with business stakeholders and monitor published materials for ongoing compliance
Required Qualifications
Bachelor's degree in business, Finance, Legal Studies, or related field
5+ years of experience in investment adviser compliance, specifically in marketing / advertising review
Strong knowledge of SEC Rule 206(4)-1 and related advertising regulations
Experience with compliance and corporate workflow tools systems
Marketing Compliance Officer • Dayton, Ohio, United States
#J-18808-Ljbffr
Key Responsibilities
Review and approve marketing and advertising materials for compliance with SEC regulations and firm policies
Stay updated on regulatory developments and enhance advertising review documentation
Support the Compliance team in engaging with business stakeholders and monitor published materials for ongoing compliance
Required Qualifications
Bachelor's degree in business, Finance, Legal Studies, or related field
5+ years of experience in investment adviser compliance, specifically in marketing / advertising review
Strong knowledge of SEC Rule 206(4)-1 and related advertising regulations
Experience with compliance and corporate workflow tools systems
Marketing Compliance Officer • Dayton, Ohio, United States
#J-18808-Ljbffr