Description
This individual will provide dedicated compliance oversight to business units focused on investment adviser/institutional products. Includes review and approval of marketing materials and advertising. Supervise and assist the preparation and maintenance of certain regulatory and insurance filings.Primary Responsibilities:
- Review and approve investment adviser/institutional marketing material and advertising.
- Prepare, maintain and monitor Forms ADV on behalf of the firm and its affiliates.
- Prepare, maintain, and monitor federal filings SEC registered investment advisers.
- Monitor changes in federal and state securities law and make appropriate recommendations/decisions and adjustments regarding any such change as they relate to the firm's registered investment advisers.
- Act as liaison with state and federal regulators regarding the foregoing.
- Act as liaison with internal clients regarding investment adviser/institutional business units' compliance with firm policies and procedures.
- Assist with the preparation, maintenance and monitoring of firm's insurance policies.
- Support and assist on other topics and special projects when needed in the Legal Department and other related departments within the firm.
Job Requirements:
- Bachelor's Degree.
- 1-3 years related industry experience.
- Minimum 1 year advertising compliance experience.
- Strong verbal and written communication skills.
- Must have strong organizational skills.
- Must have extraordinary attention to detail.
- Practice and maintain logical decision making processes.
- Must be a team player.
- Ability to work efficiently and independently.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com