Job Opening

Compliance Analyst, Advertising & Marketing Review

Job Title: Compliance Analyst, Advertising & Marketing Review

Location: Los Angeles

  • Review advertising and related communications for investment adviser, open-end mutual funds, closed-end mutual funds and other products (UCITS, CITs, etc.) o Communications to be reviewed will include: requests for proposals, prospect presentation materials, websites and
    other marketing materials.
  • Working knowledge of regulatory requirements for advertising and related communications for investment adviser, open-end mutual funds, closed-end mutual funds, UCITS and CITs.
  • Assist in developing and updating compliance policies and procedures related to marketing and advertising.
  • Respond to internal advertising compliance-related inquiries.
  • Other compliance duties as assigned.

Education: Bachelor’s Degree, preferably in Business, Finance or Accounting.

  • 6-8 years of regulatory/corporate compliance experience at an SEC-registered investment advisor also registered with the NFA.
  • Direct experience reviewing advertising materials for an SEC-registered investment advisor also registered with the NFA.
  • Working knowledge of applicable SEC rules for a registered investment advisor and registered investment companies.
  • Ability to implement and monitor regulatory compliance systems, especially systems related to marketing materials.
  • Writing and quantitative skills sufficient to prepare a wide variety of reports for clients, industry consultants and internal users.
  • Fixed income investment advisory compliance experience.
  • Investment Company Act experience.
  • Experience with regulatory requirements for private funds.
  • Ability to interact professionally at all levels of a tightly-integrated corporate team, including portfolio managers and traders.
  • Self-starter and able to function independently.
  • Well organized problem-solver able to manage multiple priorities and deadlines.

Contact: revi@wallstreetpersonnel.com