Compliance Officer (Advertising And Marketing)

Overview

• Ensure compliance of advertising and marketing materials with industry regulations, including FINRA and SEC guidelines, to uphold organizational integrity and standards.
• Collaborate with marketing and control teams to enhance compliance processes, ensuring adherence to evolving regulatory requirements.
• Review and approve sales and advertising literature for registered products and managed accounts, ensuring accuracy and compliance.
• Develop and maintain compliance guidelines, manuals, and processes for advertising reviews, fostering organizational consistency.
• Track advertising and sales literature using industry-standard tools, ensuring effective monitoring and documentation.
• Stay updated on regulatory changes, anticipating impacts on firm standards and communications strategies.
• Serve as the primary contact for advertising compliance issues, liaising with regulatory analysts and internal stakeholders.
• Provide expertise on regulatory requirements and guidelines for advertising materials, supporting organizational compliance initiatives.

Key Responsibilities & Duties

• Review retail and institutional communications for compliance with firm and industry rules, ensuring regulatory adherence.
• Respond to inquiries regarding regulatory requirements and advertising compliance, providing clear and informed guidance.
• Collaborate with marketing and control functions to identify and implement process improvements for compliance workflows.
• Assist in researching and responding to regulatory comments and inquiries, ensuring timely and accurate resolutions.
• Participate in projects aimed at enhancing advertising compliance review processes and organizational efficiency.
• Maintain compliance documentation and records per industry standards, ensuring accessibility and accuracy.
• Provide training and guidance on advertising compliance to internal teams, fostering awareness and adherence.
• Monitor and analyze regulatory changes affecting advertising compliance, proactively adapting organizational practices.

Job Requirements

• Bachelor’s degree in a relevant field is required, demonstrating foundational knowledge.
• FINRA Series 7 and 24 licenses are mandatory, ensuring regulatory expertise.
• Minimum of 4 years of experience in asset management and securities laws, showcasing industry proficiency.
• At least 2 years of experience reviewing marketing materials preferred, highlighting relevant expertise.
• Knowledge of Investment Company Act of 1940 and FINRA regulations is essential for compliance activities.
• Experience with advertising review systems like Red Oak is advantageous, supporting operational efficiency.
• Strong analytical, organizational, and communication skills are essential for effective performance.
• Ability to manage high volumes of work under tight deadlines, ensuring timely and accurate deliverables.