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Marketing Compliance Officer

Arrow Search Partners

Mundelein, IL

Job Description

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.

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Responsibilities:

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  • 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.
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  • Monitor and interpret new and evolving regulatory requirements, evaluating their potential business and operational implications.
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  • Provide compliance and regulatory review of marketing and fundraising materials for identifying and mitigating legal, regulatory, and reputational risks.
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  • Collaborate with Legal and business stakeholders to support the design, launch, and ongoing management of new products and investment strategies.
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  • Support code of ethics, surveillance, testing and other compliance initiatives.
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Requirements

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  • Bachelor's Degree
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  • Series 7 and 24 preferred
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  • 2-6 years of compliance experience
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  • Experience at an investment management firm
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Vacancy posted 25 days ago
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