Marketing Compliance Officer
Arrow Search Partners
Our client, a mulit-strategy investment management firm, is looking to add a compliance officer to support their marketing compliance initiative. This role will also provide an opportunity to work on generalist compliance responsibilities such as testing and surveillance as well.
Responsibilities:
- Act as a key resource on regulatory requirements under the Investment Advisers Act, including the SEC Marketing Rule, and provide guidance on matters impacting marketing and investor communications.
- Monitor and interpret new and evolving regulatory requirements, evaluating their potential business and operational implications.
- Provide compliance and regulatory review of marketing and fundraising materials for identifying and mitigating legal, regulatory, and reputational risks.
- Collaborate with Legal and business stakeholders to support the design, launch, and ongoing management of new products and investment strategies.
- Support code of ethics, surveillance, testing and other compliance initiatives.
Requirements
- Bachelor's Degree
- Series 7 and 24 preferred
- 2-6 years of compliance experience
- Experience at an investment management firm
Vacancy posted 3 hours ago
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