Compliance Professional - Marketing Review Job at JW Michaels & Co., New York, NY

  • JW Michaels & Co.
  • New York, NY

Job Description

About the Role

Our client is seeking a Marketing Review and Regulatory Compliance Professional to review marketing materials for regulatory compliance while supporting the firm's broader compliance program.

Responsibilities

  • Review marketing materials, advertisements, and client communications for compliance with SEC Marketing Rule, FINRA advertising rules, and related regulations
  • Maintain records of reviewed materials per recordkeeping requirements
  • Support compliance policies, testing, and regulatory filings (e.g., Form ADV, Form PF)
  • Monitor regulatory developments and assist with exam responses
  • Train marketing and sales staff on compliance requirements
  • Partner with legal, marketing, and investment teams to resolve compliance issues

Qualifications

  • Bachelor's degree
  • 5+ years in compliance or marketing review within asset management
  • Strong knowledge of SEC/FINRA marketing and advertising regulations
  • Series 7 and 24 preferred
  • Strong attention to detail and communication skills

Job Tags

Full time

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