Marketing Compliance Officer

Job type:
Huxley Associates
flag_no USA
project ID:

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The Sales and Marketing Compliance Analyst will assist in the review of advertising and sales literature to ensure adherence to FINRA and SEC rules and regulations as well as internal firm guidelines.

Primary responsibilities include:
  • Review and approve sales and advertising literature for registered products (Exchange Traded Funds and Mutual Funds).
  • Review sales and marketing literature for non-registered institutional products
  • Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials.
  • Collaborate with the investment advisor business and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
  • Ensure that materials created for public use are filed with FINRA in a timely manner.
  • Review FINRA comment letters and ensure that they are resolved and responded to on a timely basis.
  • Assist in maintaining an electronic review system that is used for reviewing and recordkeeping all material in accordance with Record Retention requirements.
  • Assist in preparation for regulatory examinations.
  • Provide daily training interaction with new employees regarding Firm's policies, procedures and regulatory requirements.
  • Assist with special projects, as requested.

  • A Bachelor's Degree is required.
  • The individual should have a minimum of 3 years of experience in reviewing advertising and sales literature or in regulatory compliance.
  • Excellent writing skills are mandatory.
  • Undergraduate study in English or Finance or equivalent preferred.
  • FINRA 7 and/or 24 licenses preferred.
  • The individual must be a self-starter, with excellent organizational and project management skills.
  • Ability to work independently and collaboratively.

Please contact Matthew Gallira with Huxley Associates for further detail.

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