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Job

Regulatory Compliance Officer

  • Location

    Los Angeles, CA, USA

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    Competitive

  • Contact:

    Alessandra Recht

  • Contact email:

    a.recht@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    4 months ago

  • Expiry date:

    2020-05-19

  • Startdate:

    ASAP

General Overview:

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.

Responsibilities:

  • 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

Minimum Qualifications:

  • Bachelor’s Degree
  • Minimum 2+ years of experience
  • Previous experience in fixed income

 

Please apply directly with an updated resume.