Marketing Compliance

Coda Search│Staffing · Greenwich, Connecticut

FULL TIME

Job Description

Our client is an established investment management firm serving institutional and individual investors across a range of strategies. The firm values collaboration, intellectual curiosity and continuous development.

The Role

Our client is seeking a detail-oriented compliance professional to join its Compliance team, with a focus on marketing review. You will partner with marketing, business development and investment teams to review communications and advise on regulatory requirements and internal standards. The level of the role may be adjusted based on experience.

Responsibilities

Review marketing materials, client communications, reports, research and digital content for regulatory and policy compliance

Assess materials across a variety of strategies and products against applicable U.S. and non-U.S. rules

Review performance presentations, including hypothetical and other complex performance

Give clear, practical guidance to business and investment teams on advertising and performance reporting

Monitor and interpret regulatory developments and translate them into business guidance

Support the development and updating of policies and procedures

Deliver training and resources to staff on compliance requirements

Qualifications

Bachelor’s degree

3-5 years of experience reviewing marketing or advertising materials, preferably at an investment adviser or broker-dealer

Series 7 and 24 licenses

Solid working knowledge of the SEC Marketing Rule, FINRA communications rules and related guidance

Strong communication, organization and attention to detail

Ability to work independently, manage deadlines and give timely, direct advice

Some flexibility outside regular business hours as needed

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Company	Coda Search│Staffing
Location	Greenwich, Connecticut
Type	FULL TIME
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Marketing Compliance

Job Description