Compensation: $95,000-$130,000 + bonus
Location: Short Hills, NJ
Publicly traded alternative asset manager Firm is seeking a Compliance Marketing Review Associate to join the Compliance Team. As a Compliance Marketing Review Associate, you’ll work with the team on day-to-day reviews of advertising and projects to support the firm’s expansive growth and provide support to key functions and procedures.
Highlights About the Company & Position:
- Review and approve advertising material for a registered investment adviser, private and regulated business development companies, and private funds to ensure compliance with investment adviser and broker-dealer regulatory requirements.
- Assist with preparing and updating advertising-related procedures, tools, and training materials.
- Effectively communicate and build relationships within the Compliance team and business colleagues and navigate and escalate compliance matters internally.
- Keep abreast of current FINRA, SEC, state, and other applicable regulatory standards and requirements.
- Other tasks and responsibilities as assigned.
- Bachelor’s degree.
- Minimum of 2 years of industry experience, including compliance experience relating to applicable rules and regulations, and review of marketing material.
- FINRA Series 7 (SIE/S7TO) and 24 are required.
- Knowledge of SEC and FINRA advertising rules and other relevant securities laws.
- Ability to interpret rules, regulations, and best practices and apply them consistently across reviews and guidance.
- Ability to learn, adapt, and thrive in a fast-paced environment.
- Ability to prioritize workload and adhere to time-sensitive deadlines.
- Excellent project management and organizational skills.
Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.