Job Description
Top-Tier Investment Management firm in Midtown, Manhattan is seeking a Compliance Associate for a full-time position!
Responsibilities:
- Responsible for advertising and marketing compliance
- Respond to internal and external inquiries regarding regulatory requirements
- Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules
- Collaborate with the Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
- Effectively track advertising and sales literature using applicable methods and tools per industry/company record retention requirements.
- Participates in applicable projects to make significant structural changes to the advertising compliance review process.