Marketing Compliance Officer - JCW : Job Details

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.