Our Client, a well-regarded Investment Management firm, seeks a Compliance Specialist. The Compliance Specialist will be responsible for providing support to the Legal and Compliance Team in the development and maintenance of the overall compliance programs of the firm and its subsidiaries. Of particular focus is conducting the legal review and approval of advertising materials for the firm, maintaining the registrations of the firm and its associated persons, and proactively monitoring for changes in regulations affecting the firm. The Compliance Specialist will need to be comfortable interacting on a daily basis with members of the Sales & Marketing Team in a smaller office environment.
Mutual Fund Marketing Legal Review
As a member of a Marketing Review Team, support the Compliance Director in ensuring marketing materials and their use by Sales & Marketing are compliant, including:
Firm Wide Compliance Responsibilities
Preparing broker-dealer SEC and other regulatory filings, including Form BD and Form BR Preparing filings with FINRA, including Continuing Membership applications Assisting in the onboarding of new registered representatives, including preparing Forms U4, scheduling exams, and training Assisting in the processing of Forms U5 Assisting in the development and delivery of the Regulatory Element continuing education program Participating in the process for reviewing and tracking outside business activities and private securities transactions for registered persons Participating in the process for tracking of gifts and the maintenance of gift logs Assisting in the formulation of a forensic testing plan Developing and conducting various forensic tests Participating in various data protection, privacy and information security initiatives Proactively monitoring state blue sky law changes impacting the sale of Firm's or available exemptions from qualification and working with the Compliance Director to implement operational changes on the shareholder servicing system Understanding securities laws related to records retention and following departmental procedures related to the maintenance of hardcopy and electronic records for all assigned duties Maintain technological skills necessary to perform all assigned duties and effectively utilize related software systems. Seek opportunities to develop technological skills or source new technology solutions
Bachelor's Degree or equivalent Five or more years' experience as a legal & compliance professional supporting the compliance function for a mutual fund firm, either in a law firm or as a member of industry, with direct experience reviewing and approving marketing/advertising materials Solid Understanding of the rules and regulations under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and other related securities and corporate law that apply to the business and operations of the firm and its subsidiaries. Ability to manage diverse and complex projects according to timelines that the candidate will create and monitor; therefore, strong project and time management skills are a must Experience with applying FINRA rules and knowledge of the Central Registration Depository ("CRD") system Willingness to attain the FINRA Series 6 or 7 and 26 or 24 exams as needed to support the job functions if not already registered Committed to maintaining the highest ethical standards Excellent oral and written communication skills are required
Interested? Or know someone who might be? Send resumes to Heather@ComplianceSearch.com.
Internal Number: 4761436
About The Compliance Search Group, LLC
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