Marketing Compliance Manager
Global Investment Management firm is seeking a Marketing Compliance Manager and Registered Principal Reviewer of advertising and sales materials. Primary responsibility would be to review marketing materials and other business communications related to investment company products and other pooled offerings including presentations, commentaries, print, social media, RFPs and other electronic formats. Expert knowledge of FINRA and SEC rules and regulations as it relates to the advertising and marketing of securities products is a must.
Position Requirements:
· FINRA Series 24 is required
· At least 5-10 years of directly relevant experience in Marketing Compliance Review
· Strong knowledge of FINRA and SEC rules and interpretation of regulations
· Ability to manage challenging workflow in a fast-paced, dynamic organization, managing multiple assignments in a deadline-driven environment
· Excellent written, oral and relationship management skills
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