Legal Analyst - Sales and Marketing

Loomis Sayles•Boston, MA

31d•$70,000 - $110,000•Hybrid

About The Position

This role in our legal department will be responsible for the review of a variety of advertising and marketing materials and communications including one-on-one presentations, RFP/RFIs, fact sheets, commentaries and social media as well as certain client materials. In addition to experience working in a legal or compliance environment, the candidate should have some knowledge about SEC, FINRA, GIPS and other pertinent rules and regulations which govern the marketing of financial products and services for institutional and retail clients. The Candidate should have good interpersonal skills to work well within the team and with internal clients.

Requirements

Bachelors degree
Prior sales and marketing review experience preferred
Excellent oral and written communications, organizational and time management skills, ability to collaborate with marketing and product groups
Ability to develop strong working relationships with marketing groups and product teams; provide support and training through conversation and frequent meetings
Experience in working under pressure, managing multiple conflicting priorities and meeting deadlines in a fast-paced environment
Competence in interacting with and influencing business associates at all levels
1 - 3+ years experience in legal and/or compliance department of an investment company or in a law firm
Excellent judgment and discretion
A team player
Knowledge and understanding in the following areas is preferred:
Rules and regulations for advertising and marketing investment services and products
Standards for marketing and advertising advisory services based on the Investment Advisors’ Act, no-action letters, and other legal authority rules
GIPS rules for one-on-one presentations and advertising/marketing materials
Institutional investment vehicles including separate accounts, mutual funds, private placements, and alternative investments

Responsibilities

Review of Marketing Presentations and Related Materials
Comprehensive annual review of standardized materials to ensure compliance with firm policy, legal and industry regulations
Review and analyze new content and complex themes for inclusion in one-on-one presentations and other marketing and advertising materials.
Ensure that content of such material complies with and is consistent with firm policy and legal requirements and includes required disclosures, footnotes and legends
Provide annual and as-needed training to marketing groups on basic procedures, regulatory and compliance issues
Offer guidance to marketing groups and investment teams for new product material development; assess risks and concerns and communicate them as appropriate
Collaborate with marketing groups on the development and refinement of policies and procedures
Requests for Proposal (“RFP”)/Requests for Information (“RFI”)
Review customized RFP/RFI responses submitted for approval; edit content as necessary
Prepare quarterly memo to include legal and compliance and other firm updates for posting to our internal database
Review expired and updated subject matter as appropriate
Meet regularly with RFI/RFP writers to review changes to legal and regulatory content and to the review process
Determine process and conduct audit of RFP materials not submitted for legal review
Additional Responsibilities
Liaise with technology to develop and maintain updates and introduce enhancements to our electronic review system
Review of fact sheets, press releases, website and outside conference materials
Review and audit of website, Apps and social media
Review of monthly and quarterly market commentaries for use on the website, in annual reports, in client mailings and other distribution
Coordinate comments on mutual funds with Compliance at Natixis Distribution LLC, the Distributor of our mutual funds (and parent company)
Provide guidance and review of various internal materials, i.e., training presentations, talking points, Q&A's