Key Responsibilities
All potential candidates should read through the following details of this job with care before making an application.
- Review and evaluate a broad range of investor communications, promotional content, research materials, digital media, and client deliverables for regulatory compliance.
- Assess communications across diverse investment products and strategies against applicable regulatory standards and internal compliance requirements.
- Evaluate complex investment presentations and performance-related disclosures, including hypothetical results and modeled investment scenarios.
- Advise business development and investment teams on compliant communication practices, identifying potential issues and recommending practical solutions.
- Track regulatory developments and interpret their implications for business activities, marketing practices, and investment-related communications.
- Monitor industry guidance, regulatory announcements, and emerging compliance risks to help maintain effective oversight.
- Contribute to the development, enhancement, and maintenance of internal compliance policies and procedures.
- Develop and deliver employee guidance, educational resources, and training on relevant regulatory obligations and firm standards.
Compliance Marketing Associate in new york at Unknown Company
This position is listed as full time and onsite.