Los Angeles, CA, USA
about 1 year ago
The individual will be responsible for ensuring all marketing materials are within regulatory compliance and assist with the testing and training of the compliance program.
- Partner with various business groups to review and approve advertisements, sales literature, due diligence questionnaires, pitch books, newsletters, client/prospect meeting materials, white papers, disclosures, blog posts and various ad hoc and special projects.
- Maintain compliance policies and procedures and conduct the compliance monitoring program.
- Collaborate with the marketing team and other relevant teams to ensure that marketing review standards are applied consistently across the firm.
- Enhance processes to facilitate submission and review of marketing and client servicing materials. Stay current with all industry and regulatory changes.
- Maintain an understanding of regulatory requirements relating to the investment industry, analyze changes and make recommendations for the compliance program
- Assist in coordinating regulatory, external and internal audits
- Bachelor’s Degree
- Minimum 2+ years of experience
- Previous experience in fixed income
Please apply directly with an updated resume.