Marketing Compliance

Man Group•New York, NY

About The Position

We are looking for a Marketing Compliance Analyst to review and approve all communications to the public including, but not limited to, marketing materials, monthly reports, factsheets, request for proposals, due diligence questionnaires, website content and electronic communications.

Requirements

1-2 years of marketing compliance experience in an asset management firm
Current Series 7 and 24 licenses or must pass examinations within 6 months of hire
Proficient in the rules and requirements of the Investment Advisers Act of 1940 as it relates to marketing and advertising
Proficient in the rules and requirements of FINRA and the Securities Act of 1934 as it relates to communications with the public
Self-motivated with strong organizational, writing and communication skills
Ability to work in a busy environment and multi-task both in an independent, self-directed manner and also as part of a team

Responsibilities

Coordinate with various teams including investment management compliance, marketing, investment services, supervisory principal(s) and all applicable business units in order to timely review and approve all communications
Ensure that all communications comply with applicable regulatory guidelines in accordance with SEC, FINRA, NFA, CFTC, rules, laws and regulations
Assist in the drafting of appropriate disclosures
Assist with the compliance monitoring program relating to marketing materials, update policies and procedures and conduct periodic training with personnel
Maintain the records of all approved materials as per SEC and FINRA recordkeeping rules and internal policies and procedures
Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects
Providing support in the Identification, analysis, implementation and monitoring of regulatory initiatives relevant to sales, distribution and marketing
Support the development of policies and guidance to ensure the firm has the necessary tools to produce compliant marketing materials