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Company: Compliance Search Group |
Advertising, Marketing Materials Compliance Review
Milwaukee, WI
Investment management firm, with approximately $48 billion in assets under management seeks an experienced Marketing Compliance Specialist.
The Advertising, Marketing Materials Review Compliance professional will work closely with the retail, institutional, broker-dealer and employee benefit plan marketing groups.
This position will require working knowledge of applicable SEC and FINRA regulations and GIPS
standards.
The Compliance Specialist will be required to interpret and apply that knowledge to
correspondence, sales literature, advertising, institutional material, RFPs, and other types of
communication to ensure compliance with applicable regulations.
The Compliance Specialist will have the opportunity to create and implement a knowledge database and
review system for the firm’s global communication and marketing efforts.
The Compliance Specialist will have responsibility for maintaining a registered representative training
program and will conduct focused training on marketing related topics.
The Compliance Specialist will also assist in preparing regulatory filings and developing and
implementing compliance policies and procedures.
Qualifications:
• FINRA Series 6 and 26 and seven to ten years of marketing review experience
• Undergraduate degree in finance, accounting, economics or business administration, or equivalent in
experience
• Dedication to quality and strong work ethic
• Detail oriented
• Strong interpersonal and communication skills
• Proficiency in Microsoft Office applications
(871387)
