Key compliance resource for the review of marketing;
Work in a close partnership with the business on sales and marketing strategies and regulatory analysis focused on communications with the public;
Review marketing material for a diverse array of products and services, including ETFs, mutual funds, private placement funds, structured products, exchange traded notes, 529 college savings plans, collective trust funds, securities lending, and transition management;
Partner with the business and other compliance personnel on new products, with a communications focus;
Provide compliance guidance and review of multiple websites and interactive tools;
Work with the public relations group on press releases, television interviews and other public appearances, and client conferences and events;
Assist in development and implementation of meaningful training program and annual compliance presentations concerning communications with the public;
Develop and update compliance policies and procedures;
Special projects, as necessary.
Minimum of 5 years of compliance experience with 2 years of advertising and marketing compliance. Strong knowledge of Client/SEC regulations.
Strong analytical skills with the ability to identify a problem and develop solutions;
Excellent organizational skills;
Ability to design and document effective processes and work collaboratively with client groups to implement new procedures;
High degree of initiative and ability to work within tight deadlines.
Goal oriented and able to work in a rapidly changing environment;
Excellent verbal and written communication skills;
Customer service attitude and collegial approach to client business groups.