Los Angeles, CA, USA
14 days 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.