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Associate Director - Sales Practice Compliance
Hiring Company Industry:
Financial Services
Number of Employees:
100 - 1,000
Employees
Total Compensation: $100K+
Location: New York, NY
JOB DESCRIPTION
About the company :
Our client is global investment management firm. Job description :
Review key advertising and marketing materials, press releases, requests for proposal, website postings, seminar presentations and other materials to verify consistency with applicable law, including SEC, FINRA and Global Investment Performance Standards, and applicable firm policy Provide guidance to marketing and business personnel on relevant rules and marketing review procedures, including one on one conversations and larger group discussions Coordinate resolutions to sales issues with marketing, distribution, and legal personnel Work with the Head of Global Sales Practice Compliance to establish policy and develop system to implement a global review process Assist in the Broker-Dealer Regulatory Calendar and coordinate relevant training and filings Who we are looking for :
FINRA Series 7 registrations (S24 preferred) Bachelors degree required working knowledge of SEC and FINRA advertising/marketing rules and regulations A minimum of 4 years advertising/marketing review experience, particularly related to fixed income and alternative products and strategies for institutional investors. Knowledge of Global Investment Performance Standards (GIPS) Exceptional interpersonal and verbal and written communication skills Ability to balance multiple projects and meet tight deadlines Whats on offer :
Base Bonus Benefits
Our client is global investment management firm. Job description :
Review key advertising and marketing materials, press releases, requests for proposal, website postings, seminar presentations and other materials to verify consistency with applicable law, including SEC, FINRA and Global Investment Performance Standards, and applicable firm policy Provide guidance to marketing and business personnel on relevant rules and marketing review procedures, including one on one conversations and larger group discussions Coordinate resolutions to sales issues with marketing, distribution, and legal personnel Work with the Head of Global Sales Practice Compliance to establish policy and develop system to implement a global review process Assist in the Broker-Dealer Regulatory Calendar and coordinate relevant training and filings Who we are looking for :
FINRA Series 7 registrations (S24 preferred) Bachelors degree required working knowledge of SEC and FINRA advertising/marketing rules and regulations A minimum of 4 years advertising/marketing review experience, particularly related to fixed income and alternative products and strategies for institutional investors. Knowledge of Global Investment Performance Standards (GIPS) Exceptional interpersonal and verbal and written communication skills Ability to balance multiple projects and meet tight deadlines Whats on offer :
Base Bonus Benefits
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