The Marketing Compliance team ensures compliance with various federal, state & FINRA regulatory requirements. Team members are familiar with securities laws and regulations and managing multiple business owners/review deadlines. These compliance professionals assist with the review of firm communications with the public. Review will primarily consist of firm's social media activity (e.g. twitter, LinkedIn, blogs), but will also assist the group with day to day review of marketing material (e.g. fund fact sheets, market commentaries, website material). Individuals will be responsible for maintenance and oversight of the review and approval process.
The ideal candidates will have:
Series 7 and 24 preferred
Experience reviewing advertising materials
3-15 years of Compliance experience
Familiarity with public communications rules and industry best practices for social media, marketing mutual funds, private (unregistered funds), investment advisory and custody services.