Marketing Compliance – AVP to VP


Downtown LA

Company Information:

Large investment management firm involved in all facets of institutional money management on a global level


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.
Experience & Education:
  • Degree Required.
  • 4-10years compliance experience within the financial services industry, large degree of exposure to investment adviser and broker-dealer marketing review compliance practices is required;
  • Strong knowledge of fixed income products, alternative investment asset classes and financial markets in general as well as structure of products such as private non-registered limited partnerships and other commingled vehicles, 40-Act mutual funds and separately managed accounts;
  • Strong knowledge of the Investment Advisers Act and FINRA rules governing marketing of advisory services and products;
  • Excellent understanding of compliance issues related to marketing products and advisory services in the U.S. and non-U.S. jurisdictions;
  • Preference for experience with the posting of investment adviser and public company/investor relations content on social media platforms;
  • Exceptional editing and writing skills;
  • Proven capability in analyzing complex data, evaluating information and drawing logical conclusions;
  • Proven ability in arriving at solutions that meet business needs and at the same time are compliant with requlatory requirements
  • Track record in planning and project management and in maintaining composure under pressure while meeting deadlines;
  • A Series 7 and 24 will be required; and
  • Proficient in Microsoft Office products including, Word, Excel, Outlook and other business software.
Please Email: and attach your resume.


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