Marketing Compliance Associate
Abacus Group, LLC, New York, NY, United States
Our client is an asset management firm. They are seeking a Marketing Compliance Associate to join their Manhattan, NY office.
Responsibilities
Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules. Rules and principals-based reviews of advertisements and correspondence from FINRA and SEC perspective. Respond to internal and external inquiries regarding regulatory requirements. 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. Assist in researching and responding to comments and/or inquiries received from FINRA. Collaborate with the Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions. Participates in applicable projects to make significant structural changes to the advertising compliance review process. Remain current and anticipate changes in the regulatory environment and/or reputational risks to the firm that may affect the firm’s 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. Requirements
Bachelor's degree required. FINRA Series 7 & 24 licenses required. 4+ years experience in asset management industry and understanding of securities law. Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations.
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Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules. Rules and principals-based reviews of advertisements and correspondence from FINRA and SEC perspective. Respond to internal and external inquiries regarding regulatory requirements. 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. Assist in researching and responding to comments and/or inquiries received from FINRA. Collaborate with the Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions. Participates in applicable projects to make significant structural changes to the advertising compliance review process. Remain current and anticipate changes in the regulatory environment and/or reputational risks to the firm that may affect the firm’s 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. Requirements
Bachelor's degree required. FINRA Series 7 & 24 licenses required. 4+ years experience in asset management industry and understanding of securities law. Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations.
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