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Job ID Number: 1255111344
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Advertising and Sales Literature Review |
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| Job Title: |
Advertising, Sales Literature & Marketing Materials Review |
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| State/Location: |
Connecticut and/or New York |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
1. As a Compliance Specialist you will be responsible for assisting in the review and editing of broker/dealer-related advertising and sales literature as well as all investment advisory institutional sales material to ensure compliance with the requirements of the FINRA, SEC & GIPS, as well as the firm's policies and procedures.
2. Assist with the processing of heavy work flow of advertising and sales literature of broker/dealer, investment adviser, trust company and related books and records.
3. Assist with the creation and maintenance of various filing systems.
4. Responsible for assisting with the review and editing of securities and investment related advertising and sales literature to insure compliance with the requirements of the FINRA SEC & GIPS, as well as the firm's policies and procedures.
5. Responsible for the timely filing of marketing materials with FINRA.
6. Maintain internal marketing files (including performing data entry and the filing of hardcopies of documents) to fulfill the broker-dealer's recordkeeping requirements.
7. Maintain current knowledge of regulatory standards and initiatives in connection with marketing materials.
8. Assists with the compliance audits and examinations and audits by internal and external parties. Assists with training sessions and with special projects, and performs other duties, as assigned.
9. Contributes to the design, establishment, implementation, and revision of compliance systems, policies and procedures.
10. Responsible for E mail surveillance of the Firm’s registered representatives.
11. Team player who frequently communicates with management and manager.
12. Assist the CCO and Compliance Director of Sales and Marketing with various other duties as assigned.
QUALIFICATIONS
1. Must have a college degree along with 3-5 years experience with reviewing and editing of advertising and sales literature to insure compliance with the requirements of the FINRA,SEC & GIPS as well as the firm's policies and procedures.
2. Must be familiar with office software applications (including Access Database).
3. Experience with GIPS and alternative products is a strong plus.
4. Must have active FINRA Series 7 and 24 licenses.
5. Professional experience with the SEC, NYSE and/or FINRA is a plus.
Please send resumes to Jack Kelly at JKelly@ComplianceSearch.com
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