Resolute Investment Managers (parent company of American Beacon Advisors)
Marketing Review Analyst, Compliance
Resolute Investment Managers (parent company of American Beacon Advisors), Irving, Texas, United States, 75084
Resolute Investment Managers, Inc.Marketing Review Analyst, Compliance
Resolute Investment Managers, Inc. ("Resolute")
is a diversified, multi-affiliate asset management platform that partners with affiliated and independent investment managers. The clients of Resolute and our affiliates include corporate defined benefit plans, institutions and individual investors. We trace our history to 1986 when an affiliate, American Beacon Advisors, Inc. (formerly AMR Investment Services, Inc.), began providing investment management services as an independently operated entity. Since 1987, American Beacon Advisors has managed the American Beacon Funds family of mutual funds. Over the years, American Beacon has built a reputation for innovative thinking, discipline and prudent investing, which has led to several prestigious awards for its pension management, cash management and mutual fund investment services. Today, Resolute is a privately held organization owned by a consortium of investment funds affiliated with leading financial institutions. In December 2023, Resolute Investment Managers was named one of the Best Places to Work in Money Management by Pensions & Investments for the fifth consecutive year. Learn more about our company by visiting
Our office is located in Las Colinas, Texas. This position will have the following consideration:
Hybrid:
Works regularly both Onsite (currently 3+ days per week) and Remote.
Job Description:
The Marketing Review Analyst, Compliance is responsible for implementing procedures and controls for Resolute Investment Distributors, Inc. and American Beacon Advisors, Inc. to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and other applicable regulatory agencies.
Key ResponsibilitiesAssist the Broker Dealer, CCO in developing compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirementsProofread and review marketing materials to ensure compliance with applicable regulatory requirementsAssist with FINRA registration requirements for the broker dealer and its registered representativesMaintain accurate and complete books and recordsConduct testing to monitor compliance with established proceduresReview mutual fund disclosure documents for consistency with regulatory requirementsUnder the direct supervision of the Broker Dealer, CCO, provide compliance support to registered representativesParticipate in assessments of new rules and regulationsParticipate in special projects, such as the evaluation and implementation of new technology, and compliance analyses of proposed new investment productsRequirements
Bachelor's degree or commensurate work experienceAt least two years of experience at a broker-dealer, investment adviser or regulatory agency preferredFINRA License Series 7 and 63 preferred (Required within 6 months of hire if not already obtained)Working knowledge of the federal securities laws as they apply to broker-dealers preferredExceptional proofreading skills and attention to detailExcellent organizational skills
#LI-Hybrid
Resolute Investment Managers, Inc. ("Resolute")
is a diversified, multi-affiliate asset management platform that partners with affiliated and independent investment managers. The clients of Resolute and our affiliates include corporate defined benefit plans, institutions and individual investors. We trace our history to 1986 when an affiliate, American Beacon Advisors, Inc. (formerly AMR Investment Services, Inc.), began providing investment management services as an independently operated entity. Since 1987, American Beacon Advisors has managed the American Beacon Funds family of mutual funds. Over the years, American Beacon has built a reputation for innovative thinking, discipline and prudent investing, which has led to several prestigious awards for its pension management, cash management and mutual fund investment services. Today, Resolute is a privately held organization owned by a consortium of investment funds affiliated with leading financial institutions. In December 2023, Resolute Investment Managers was named one of the Best Places to Work in Money Management by Pensions & Investments for the fifth consecutive year. Learn more about our company by visiting
Our office is located in Las Colinas, Texas. This position will have the following consideration:
Hybrid:
Works regularly both Onsite (currently 3+ days per week) and Remote.
Job Description:
The Marketing Review Analyst, Compliance is responsible for implementing procedures and controls for Resolute Investment Distributors, Inc. and American Beacon Advisors, Inc. to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and other applicable regulatory agencies.
Key ResponsibilitiesAssist the Broker Dealer, CCO in developing compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirementsProofread and review marketing materials to ensure compliance with applicable regulatory requirementsAssist with FINRA registration requirements for the broker dealer and its registered representativesMaintain accurate and complete books and recordsConduct testing to monitor compliance with established proceduresReview mutual fund disclosure documents for consistency with regulatory requirementsUnder the direct supervision of the Broker Dealer, CCO, provide compliance support to registered representativesParticipate in assessments of new rules and regulationsParticipate in special projects, such as the evaluation and implementation of new technology, and compliance analyses of proposed new investment productsRequirements
Bachelor's degree or commensurate work experienceAt least two years of experience at a broker-dealer, investment adviser or regulatory agency preferredFINRA License Series 7 and 63 preferred (Required within 6 months of hire if not already obtained)Working knowledge of the federal securities laws as they apply to broker-dealers preferredExceptional proofreading skills and attention to detailExcellent organizational skills
#LI-Hybrid