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.