Job Opening

Marketing Compliance

Job Title: Marketing Compliance

Location: Los Angeles (Downtown LA)

The individual will have the 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.

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 the 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 the 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.

Contact: revi@wallstreetpersonnel.com