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.
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.
Bachelor's degree required
Problem solving and analytical abilities
Excellent writing, organizational, and negotiating skills
1 year compliance or financial services experience preferred
Series 6 and 26 licenses
Americas, United States