About this opportunity
JW Michaels & Co. lists this Compliance Professional - Marketing Review opportunity in white plains, New York. Review the employer’s description below for duties, qualifications and application requirements.
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
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.