Job Overview – Marketing Material Compliance Analyst:
Take on an essential role with our client as a Marketing Material Compliance Analyst in New York, NY. This in-office position involves ensuring compliance across global marketing and distribution activities while working closely with sales, legal, and regulatory teams. Your expertise in SEC and FINRA regulations will guide the creation and review of marketing materials, policies, and procedures.
Compensation: $100,000 – $150,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (In-Office)
Responsibilities as the Marketing Material Compliance Analyst:
- Material Review: Oversee advertising, corporate, and social media materials to ensure compliance with SEC and FINRA rules.
- Policy Implementation: Develop and implement processes related to marketing and distribution activities for global operations.
- Cross-Functional Collaboration: Partner with U.S. and international sales teams to provide compliance guidance and ensure adherence to policies and procedures.
- Training & Development: Create informational tools and training materials aligned with compliance policies and regulatory requirements.
- Policy Updates: Maintain and update compliance policies and procedures to reflect regulatory changes.
Qualifications for the Marketing Material Compliance Analyst:
- Education: Bachelor’s degree in Finance, Business, Marketing, or a related field.
- Licensure: FINRA Series 7 and 24 required.
- Experience: Minimum of 7 years in the Financial Services industry, with a focus on compliance related to marketing and advertising regulations.
- Skills: Demonstrates in-depth knowledge of SEC and FINRA marketing and advertising rules, alongside exceptional project management, organizational, and communication abilities.
- Attributes: Possesses strong analytical thinking, adaptability to regulatory changes, and excellent interpersonal skills, with the ability to interact effectively across teams and senior management levels.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.