Compliance Officer

Job Description
The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will serve as the primary day to day contact for the business regarding marketing materials and communications. The Compliance Officer will report to a supervisor with the Wealth Management Broker/Dealer Compliance division.
• Review marketing material for consistency with applicable US and International regulatory standards
• Analyze marketing material for compliance with regulatory standards including, SEC, FINRA and MSRB
• Provide consultation to internal business partners for standards of marketing review and provide guidance to align alternative product marketing materials to corporate and regulatory standards
• Train marketing staff on rules and regulations relating to marketing materials for alternative products
• Serve as a resou...