Compliance Officer (Advertising And Marketing)

Overview

• Ensure compliance of advertising and marketing materials with industry regulations, including FINRA and SEC guidelines.
• Collaborate with marketing and control teams to enhance compliance processes and standards.
• Review and approve sales and advertising literature for registered products and separate managed accounts.
• Develop and maintain compliance guidelines, manuals, and processes for advertising reviews.
• Track advertising and sales literature using industry-standard tools and methods.
• Stay updated on regulatory changes and anticipate impacts on firm standards and communications.
• Serve as the primary contact for advertising compliance issues with regulatory analysts.
• Provide expertise on regulatory requirements and guidelines for advertising materials.

Key Responsibilities & Duties

• Review retail and institutional communications for compliance with firm and industry rules.
• Respond to inquiries regarding regulatory requirements and advertising compliance.
• Collaborate with marketing and control functions to identify process improvements.
• Assist in researching and responding to regulatory comments and inquiries.
• Participate in projects to enhance advertising compliance review processes.
• Maintain compliance documentation and records per industry standards.
• Provide training and guidance on advertising compliance to internal teams.
• Monitor and analyze regulatory changes affecting advertising compliance.

Job Requirements

• Bachelor’s degree in a relevant field is required.
• FINRA Series 7 and 24 licenses are mandatory.
• Minimum of 4 years of experience in asset management and securities laws.
• At least 2 years of experience reviewing marketing materials preferred.
• Knowledge of Investment Company Act of 1940 and FINRA regulations.
• Experience with advertising review systems like Red Oak is advantageous.
• Strong analytical, organizational, and communication skills are essential.
• Ability to manage high volumes of work under tight deadlines.