Job added in hotlist
Applied job
Contract job
90-day-old-job
part-time-job
Recruiter job
Employer job
Expanded search
Apply online not available
View more jobs in New York City, NY
View more jobs in New York

Job Details

Compliance Associate Marketing Review- Top Investment Firm

Location
New York City, NY

Apply for this job






18 hit(s)  

Profile

Responsibilities: Review marketing materials (primary responsibility) Liaise between marketing compliance associates in each business group to manage Firm Strategic Partnership relationships  Conduct email review Manage logistics for organizing compliance training and work with CCO to develop content Conduct training for Firm new hires on a regular basis Assist with annual broker-dealer compliance reviews (i.e., annual firm testing and branch testing) Assist in preparing annual FINRA risk control assessment Work on Private Wealth Management initiatives Assist in the drafting of compliance policies and procedures Take on additional assignments as needed Qualifications: Bachelor's degree or equivalent Two to three years of compliance experience at a financial institution such as a bank or asset manager Experience reviewing marketing materials for compliance with SEC and FINRA rules Strong analytical and issue-spotting skills Ability to communicate confidently and effectively Ability to work independently but still be a strong team player Substantial initiative, creativity and drive Attention to detail   ,@type:JobPosting,responsibilities:,validThrough:2018-08-12T04:00:00Z,title:Compliance Associate, Marketing Review- Top Investment Firm,datePosted:2018-07-13T06:46:09Z}

Company info

Sign Up Now - ComplianceCrossing.com

Similar Jobs:
Responsibilities: Review marketing materials (primary responsibility) Liaise between marketing compliance associates in each business group to manage Firm Strategic Partnership relationships\u00a0 Conduct email review Mana...
Investment Adviser - Compliance Analyst
Location : Englewood, NJ
Investment Adviser - Compliance Analyst Trandon Associates • Englewood NJ Job #700760631 We are a boutique business and regulatory compliance consulting firm located just outside of New York City that serves the needs of independe...
Regulatory Compliance
Location : New York City, NY
\n\nJob Description\nCompliance Administrator\n\n\nResponsible for all federal and state compliance including licenses, renewals and related files\nMaintain a database of the above including expirations\nCoordinate bond requiremen...
I found a new job! Thanks for your help.
Thomas B - ,
  • All we do is research jobs.
  • Our team of researchers, programmers, and analysts find you jobs from over 1,000 career pages and other sources
  • Our members get more interviews and jobs than people who use "public job boards"
Shoot for the moon. Even if you miss it, you will land among the stars.
ComplianceCrossing - #1 Job Aggregation and Private Job-Opening Research Service — The Most Quality Jobs Anywhere
ComplianceCrossing is the first job consolidation service in the employment industry to seek to include every job that exists in the world.
Copyright © 2018 ComplianceCrossing - All rights reserved. 168