Compliance Marketing Specialist
Job Description
We are looking for a hard-working, team-oriented and flexible professional with 2-5 years of experience in a compliance role in the finance space. The right person for the role must be detail-oriented, while being able to function in a fast-paced environment within a growing company.
Compliance Analyst/Manager Responsibilities
The Compliance Analyst/Manager will support all aspects of compliance program with a primary focus on the relationship management and business development process. Reporting directly to the CCO, the Compliance Analyst/Manager will work with members of the Legal, Relationship Management, Finance, IT, and Investment teams, with clear visibility to senior management.
Requirements/Qualifications:
- Work closely with the Relationship Management team to create, review, and approve marketing materials and investor communications for multiple product lines.
- Assist with developing new policies, procedures, and technological upgrades to meet increasing regulatory demands and growth in the business
- Ability to work independently and alongside a team is required, as well as a willingness to communicate actively to coordinate workload, priorities, initiatives, and regulatory interpretations
- Bachelor's degree
- 3-5+ years of compliance experience within the finance space, preferably with private fund advisor experience
- Professional maturity and ability
- Knowledge and experience with compliance testing and marketing material review desired
- Personable and able to work well with all levels of internal management and staff,
- Strong written and verbal communication and interpersonal skills.
- Must have high initiative and the ability to "roll up sleeves" to execute tasks
- Strong problem-solving skills and analytical abilities
The firm has an entrepreneurial and team-oriented culture; this is an opportunity to join an established team. The successful addition to the team will assimilate new tasks quickly, looking to streamline or automate processes where possible, and help grow the position over time.
