Marketing Communication Controls & Compliance Associate

You are a strategic thinker passionate about driving solutions in “Marketing Communications and Compliance”. You have found the right team

As a Marketing Communication Controls & Compliance Analyst within our Communications Controls Group (CCG), you will spend each day defining, refining and delivering set goals for our firm. You will be supporting the U.S. Investment teams in their marketing efforts. You will be responsible for partnering with and providing regulatory guidance to various LOB(line of business) at every level, of our marketing and sales organization to build internal controls to help ensure marketing and other communications meets applicable regulatory standards.

Job Responsibilities

• Create reliable internal controls and monitor adherence to those objectives.
• Collaborate with outside professionals, including external audit, Legal/Compliance, Risks and Controls Management as needed.
• Educate and train employees on all necessary marketing regulations and industry practices.
• Listen to and address employee concerns and questions on regulatory requirements.

Required qualifications, capabilities and skills

• Bachelor’s Degree in business administration, or a related field.
• Familiar with all aspects of asset management marketing and sales regulations. Including but not limited to the following regulatory body: FINRA, the S.E.C, the O.C.C.; the DOL
• Atleast 6 years experience in the asset management industry in compliance or related function.
• Exceptional written and verbal communication skills.
• Track record of integrity and commitment to professional ethics.
• Strong business acumen.
• Excellent collaborative teamwork skills.
• Attention to detail and strategic thinking style.
• Critical thinking and attention to detail needed to evaluate business activities (e.g. guidelines and procedures) and assess compliance risk vs. business needs.
• Commitment to continued learning, remaining well-informed regarding internal standards and business goals.