The individual will have responsibility to ensure all marketing materials are in compliance with internal policies and regulatory requirements. He/She will be one of the contacts for the Client Relations (including Diligence Services, Marketing Programs & Collateral, Client Services and Portfolio Analysis & Reporting teams) and Corporate Communications/Investor Relations departments. In addition, the individual will be responsible for the books and records requirements of compliance approved marketing materials.
- Reviewing requests for proposals and client questionnaires and creating sophisticated written responses related to the company’s compliance practices;
- Reviewing sales and marketing literature and associated disclosures for compliance with the Advisers Act, FINRA, CFTC/NFA rules and any non-U.S. requirements as applicable;
- Reviewing performance and other related presentations, verifying the accuracy of information and ensuring compliance with GIPS and SEC performance presentation standards;
- Keeping abreast of changes in regulatory requirements as it pertains to communications with prospective investors/clients;
- Maintaining the books and records of compliance approved marketing material;
- Interacting and communicating with internal departments such as Legal, Client Relations, Investor Relations, Corporate Development,Accounting, and investment teams as well as external parties such as outside counsel and compliance consultants; and
- Performing various other tasks and projects as necessary.