Compliance Professional - Marketing Review

About the RoleOur client is seeking a Marketing Review and Regulatory Compliance Professional to review marketing materials for regulatory compliance while supporting the firm's broader compliance program.Apply promptly! A high volume of applicants is expected for the role as detailed below, do not wait to send your CV.ResponsibilitiesReview marketing materials, advertisements, and client communications for compliance with SEC Marketing Rule, FINRA advertising rules, and related regulationsMaintain records of reviewed materials per recordkeeping requirementsSupport compliance policies, testing, and regulatory filings (e.g., Form ADV, Form PF)Monitor regulatory developments and assist with exam responsesTrain marketing and sales staff on compliance requirementsPartner with legal, marketing, and investment teams to resolve compliance issuesQualificationsxhyhwjd Bachelor's degree5+ years in compliance or marketing review within asset managementStrong knowledge of SEC/FINRA marketing and advertising regulationsSeries 7 and 24 preferredStrong attention to detail and communication skills