A leading global Investment Management firm is looking for Compliance Officer to join the compliance team and assist in the oversight of the Marketing Review and Regulatory Compliance functions.
Responsibilities
- Conducting Marketing reviews and approving relevant institutional marketing documents.
- Assist the firm with 1940 Act issues along with 15c responses.
- Support the compliance team as a Compliance generalist.
Qualifications
- 3+ years of compliance experience.
- Knowledge of SEC and FINRA regulatory frameworks.
- Experience with reviewing multiple forms of Marketing Materials including Social Media, Pitch Books, etc.
