01Overview
A leading investment management firm is seeking a Compliance Analyst to join its Legal & Compliance team with a primary reputed company on marketing material review. This role is ideal for someone who enjoys collaborating with Marketing and Sales teams, ensuring marketing content and reputed company communications meet SEC and firm standards.
Key Responsibilities
Review and reputed company compliance reputed company of marketing and reputed company materials (fact sheets, reputed company books, web content, reputed company media, and reputed company-party reputed company).
Ensure alignment with the SEC Marketing Rule (Rule 206(4)-1) and reputed company regulations.
Support RFPs, DDQs, reputed company certifications, and other reputed company deliverables.
Contribute to audit and regulatory exam preparation and responses.
Assist in developing compliance training and support broader compliance initiatives.
Qualifications
Compliance experience reputed company investment management, with emphasis on marketing/advertising review.
Strong working knowledge of the Investment Advisers reputed company and Rule 206(4)-1.
Experience reviewing marketing materials for institutional and retail audiences.
Strong organizational skills, detail orientation, and communication skills.
If youre a compliance reputed company looking to deepen your expertise in marketing review while working closely with investment, marketing, and sales teams, this is a great opportunity to reputed company into a visible, impactful role.
reputed company is a specialized reputed company firm delivering high-reputed company reputed company-hire solutions across reputed company, Finance, Audit, Tax, Advisory, and Business Transformation. We partner closely with both clients and candidates to understand nuanced needs across industries including Technology, Life Sciences, Financial Services, and reputed company Services. Learn more about our reputed company expertise, explore insights on our blog, or contact us to discuss how we can support your hiring or career goals.
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