Performs timely review and approval of all marketing materials and communications utilizing AdMaster
Maintain marketing material review system (AdMaster) as necessary (i.e. workflows, disclosures, profiles, etc.)
File marketing materials with FINRA as required
Review RFPs, due diligence questionnaires and other client communications
Assists in the administration of the firm's Code of Ethics program, including personal trading, gifts and entertainment, outside business activities and political contributions utilizing the automated Code of Ethics reporting system
Assist with the automated employee surveillance review system, review exceptions flagged and maintain and code lexicons and rules in the system
Aid with periodic audits, risk assessments and compliance reviews
Conduct OFAC/ SDN checks of employees, clients, vendors and other business partners
Draft and update policies and procedures; update compliance manuals as necessary
Assist with FINRA licensing, including registration of associated persons and ongoing continuing education
Perform other compliance-related responsibilities and special projects as needed
Bachelor's degree and minimum 3 years compliance experience
Series 7, 24 licenses preferred or must be willing to obtain within 6 months of hire
Knowledge of Investment Adviser and Broker Dealer regulations
Basic knowledge of Marketing and Regulatory Compliance regulations and review of marketing materials
Proven strong verbal and written communication skills and good standard of computer literacy
Team player with the ability to partner with colleagues across the firm and confidence to work with senior members of staff
Good organizational skills and attention to detail
Proficient in Microsoft Office; experience with Admaster, PTA and Global Relay is a plus
Ability to manage priorities and handle multiple projects simultaneously
Note: This job description reflects management's assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned.
Internal Number: 4074211
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