Compliance Officer, Marketing

Compliance Officer, Marketing.This position is on the Distribution Compliance team and is responsible for supporting the distribution and marketing organizations within the firm. The primary focus of this role is the review of marketing and advertising materials, including social media. The ideal candidate will be an intelligent, energetic and goal-oriented, conceptual thinker with the ability to quickly assess a situation and exercise sound business judgmentThis is a hybrid work opportunity based in Boston, MA or Chicago, ILKEY RESPONSIBILITIESReview & approve marketing materials to ensure compliance with applicable regulations: FINRA, SEC, NFA & GIPS and filing of materials with regulators as neededAssess how existing regulations apply to various categories of communications including retail communications, institutional sales literature, and internal use only materialsDraft new disclosure language as needed & maintain disclosures librariesAssist in the development & delivery of training materialsWork collaboratively with the Marketing & Distribution teams on new initiatives, including social media campaignsAssist with various compliance monitoring activitiesImplement and enhance compliance policies, procedures, and processes as requestedProduce team reporting metricsMINIMUM QUALIFICATIONSBachelors Degree or equivalent requiredA minimum of 5 years of compliance experience in a financial services firm, including advertising review experience concerning mutual funds, ETFs, and multi-asset products and solutionsSIE, Series 7, and Series 24 licenses requiredExperience operating in a manager-of-managers structure would be a plusExperience with Red Oak or similar advertising review software a plusAn interest in a compliance career within the financial services industry and understanding of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations