Compliance Consultant – Financial Marketing

Compliance Consultant – Financial Marketing

Requirements

• Bachelor’s degree in a related field and relevant work experience with mutual fund and advisory product marketing materials, broker-dealer regulation, compliance, or legal.
• Proven ability to understand and communicate effectively about technical, complex compliance standards and policies.
• FINRA Series 7 and 24 licenses required. Alternatively, must be willing to complete and maintain such licenses.
• Outstanding organizational skills with the ability to prioritize and handle several tasks, make independent judgments, and be diligent in a fast-paced, time-sensitive environment.
• Ability to work independently and as part of a high-functioning, collaborative team of compliance professionals.
• Excellent writing and editorial skills.
• Ability to interpret, understand, and apply rules and regulations applicable to the SEC, GIPS, FINRA, MSRB, and internal guidelines.
• Strong working knowledge of the financial industry; investment and economic concepts/trends; and applicable regulatory standards.
• Effective analytical reasoning, good personal/business judgment, problem-solving skills, and risk assessment abilities.
• Ability to work well with a team, have a strong work ethic, and display integrity.
• Innovative and collaborative with the ability to build credibility with business partners and team members.

Responsibilities

• Reviewing a robust number of marketing materials promoting the firm’s products and services to ensure they meet regulatory requirements.
• Working with business partners to provide regulatory guidance with the goal of producing strong, effective, and compliant communications.
• Proactively staying current with applicable securities laws, rules, regulations, and guidance related to communications.
• Assisting in developing and conducting training for marketing, communications, public relations, social media, and electronic content teams to enhance knowledge of compliance requirements.
• Interacting collaboratively with business project teams, investment professionals, legal counsel, and team members.
• Assisting with the timely and accurate filing of marketing materials with FINRA, if applicable.

Preferred Qualifications

• 3-8 years of applicable experience in communications review in the financial services industry or equivalent experience.
• Comprehensive understanding and experience in the financial industry with marketing/advertising compliance and dedication to policy and process controls related to marketing compliance.
• Specialized regulatory compliance knowledge relevant to securities marketing (e.g., FINRA rules, SEC Rules, GIPS requirements, Brokerage, 529 Savings Plans, or Non-US Global Marketing).
• Advanced degree or other professional certification, is a plus.