Compliance Associate

Top-Tier Investment Management firm in Midtown, Manhattan is seeking a Compliance Associate for a full-time position!

Responsibilities:

• Responsible for advertising and marketing compliance


• Respond to internal and external inquiries regarding regulatory requirements


• Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules


• Collaborate with the Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions.


• Effectively track advertising and sales literature using applicable methods and tools per industry/company record retention requirements.


• Participates in applicable projects to make significant structural changes to the advertising compliance review process.
  Full-time other-general