A Mutual Fund in New York is looking for a Compliance Analyst for their Sales & Marketing materials. The role reports up to an Attorney and the Compliance Manager.
The Analyst will review, analyze and approve communications with the public to ensure compliance with regulatory requirements, internal guidelines, and other risk related issues. The individual will develop deep product expertise and knowledge of relevant regulations. The Analyst will be responsible for reviewing traditional advertising, marketing and sales literature, as well as emerging areas including social media, video, and other developing digital media such as internet sites, intranet sites, wikis, blogs and mobile applications. This individual will work closely with the experts in the various marketing areas, subject matter expert attorneys in the Legal Department, Client, the SEC, and other regulatory entities involved in oversight of investment advertising, marketing material and sales literature.
Review and approve the Firm’s postings on social networking websites to ensure compliance with Client Regulatory Notices 10-06 and 11-39 and other regulatory guidance, rules and regulations. Complete Client filing requirements of social media communications with the public in a compliant manner.
Ability to review complex materials and diplomatically communicate required edits, explain the regulatory basis for the changes and be creative in suggesting alternatives to any problematic language, and work with business units to produce strong, effective and compliant communications
Assist with the processing of heavy work flow of advertising and sales literature of broker/dealer and investment adviser
Interact efficiently with business project teams, investment professionals, counsel, and team members
Ensure timely filing of marketing materials with Client
Maintain internal marketing files to fulfill broker-dealer recordkeeping requirements, distribute materials as appropriate, and related close-out activity
Proactively stay current with applicable securities laws, rules and regulations with respect to the regulation of financial product advertising and marketing
Assist with compliance training regarding marketing policies and procedures, as well as examinations and audits by internal/external parties
BA/BS degree and a minimum of 5 years relevant work experience with mutual fund and advisory product marketing materials, broker-dealer regulation, compliance, audit or legal