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Job Details

Compliance Specialist

Boston, MA

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Compliance Specialist
Risk Type:

Overall Summary
The Compliance Specialist is responsible for the compliance review of sales and marketing communications. The Compliance Specialist will ensure that communications satisfy regulatory requirements, lead department projects, and provide compliance guidance to business partners relating to advertising rules and regulations.

Major Responsibilities
Review mutual fund materials to ensure compliance with applicable FINRA regulations.
Collaborate with internal clients and provide guidance in the development of marketing materials. This includes new product development, global marketing campaigns, web design, and social media.
Keep abreast of regulatory developments and the impact to sales and marketing communications.
Assist in the development of departmental procedures and guidelines. Maintain the department SharePoint site.
Collaborate and share knowledge with other Compliance staff.
Experience/Skills Required
Bachelor's degree required
Problem solving and analytical abilities
Excellent writing, organizational, and negotiating skills
Experience/Skills Preferred
1 year compliance or financial services experience preferred
Series 6 and 26 licenses
Employment Type:
Full Time
Americas, United States
Post Date:

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