6 часов назад
Marketing Compliance Senior Analyst
90 000 - 180 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Marketing Compliance Senior Analyst (Investment Management): Reviewing marketing materials for alternative investments and registered funds while advising stakeholders on SEC, FINRA, and Investment Company Act requirements with an accent on regulatory interpretation, disclosures, and risk assessment. Focus on testing marketing compliance, monitoring regulatory developments, maintaining policies and procedures, and coordinating with global compliance teams.
Location: Boston or New York, United States. Employees work from the office four days per week, with flexibility to work remotely one day per week.
Salary: USD 90,000–180,000 per year, plus potential bonus, incentives, and benefits.
Company
is a private investment management partnership serving institutional clients across global capital markets and managing approximately $1.2 trillion in public investments.
What you will do
- Review marketing materials for alternative investments and registered funds against regulatory requirements and internal policies.
- Advise business stakeholders on marketing guidelines, regulatory implications, disclosures, and compliance risks.
- Conduct compliance testing and monitor regulatory developments, proposals, and amendments.
- Partner with EMEA and APAC compliance colleagues on global marketing compliance programs and tools.
- Develop and deliver compliance training, awareness initiatives, and related communications.
- Maintain marketing policies, procedures, applications, and responses to internal and external examinations.
Requirements
- 5+ years of relevant investment adviser, investment company compliance, or compliance consulting experience.
- Bachelor’s degree in finance, business administration, economics, marketing, or a related field.
- Experience reviewing materials for 40 Act registered funds and alternative investment products, including hedge funds and private investment products.
- Expertise in the Investment Company Act, SEC Marketing Rule, FINRA Rule 2210, and Rule 482.
- Strong analytical, decision-making, communication, prioritization, and judgment skills.
- FINRA SIE and Series 7 required; Series 24 may be obtained after hire. Experience with technology and AI tools is also required.
Culture & Benefits
- Collaborative culture emphasizing independent thought, healthy debate, and long-term client alignment.
- Hybrid work arrangement with four days in the office and one remote day per week.
- Retirement plan and health, dental, vision, pharmacy, HSA, and FSA coverage.
- Life and disability insurance, employee assistance, adoption support, backup childcare, and commuter benefits.
- Tuition and CFA reimbursement, paid holidays, sick time, vacation, volunteer time, and other paid leave.
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