134 applicants

Company

Original Job Post

Houlihan Lokey · 6 days ago

Marketing Compliance Associate

New York, United States

Full-time

Onsite

Entry, Mid Level

$75K/yr - $95K/yr

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Responsibilities

Engaging with marketing project managers to review and approve marketing material for compliance

Acting as Registered Principal for marketing materials and recommending updates

Maintaining quality and consistency of marketing materials, advising on compliance guidelines

Collaborating with various teams to establish marketing standards

Staying current on regulatory developments and providing guidance to business partners

Serving as a resource for internal inquiries on business communications

Managing record keeping of approvals and creating compliance reports

Qualification

Find out how your skills align with this job's requirements. If anything seems off, you can easily click on the tags to select or unselect skills to reflect your actual expertise.

Financial services knowledgeInvestment bankingComplianceRegulatory experienceFINRA Series SIEFINRA Series Applicable laws knowledgeSEC regulationsProject managementDeadline managementDynamic environmentProblem-solvingInterpersonal skillsCommunicationCollaborationIntegrityMaturityProactivityOwnershipAttention to detailOrganisational skillsAdaptabilityConfidentialityEthical awareness

Required

Possess knowledge of financial services industry as well as relevant investment banking marketing compliance or regulatory experience

Bachelor’s Degree or equivalent required

Must possess FINRA Series SIE, 63, 7 and/or 79; and Series 24 preferred, or be able to obtain within 120 days post-hire

Understanding of applicable laws, regulations and guidance, particularly as it relates to the FINRA and SEC desirable

Strong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity and maturity

Strong verbal and written communication skills, with an ability to present ideas and information clearly, logically and succinctly

A proactive, hands-on, and collaborative attitude is essential, with a readiness to take ownership of certain initiatives

Attention to detail, with excellent organisational skill, with the ability to project manage multiple priorities simultaneously

Ability to work to tight deadlines/under pressure with limited supervision, focus for extended periods of time with extreme attention to detail

High level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic environment

Maintain highly confidential information in an ethical, professional manner and exhibit awareness and understanding of ethical principles

Preferred

Must possess FINRA Series SIE, 63, 7 and/or 79; and Series 24 preferred, or be able to obtain within 120 days post-hire

Company

Houlihan Lokey

Glassdoor

4.0

Houlihan Lokey is an investment bank that offers financial services.

Founded in 1972

Los Angeles, California, USA

1,001-5,000 employees

https://www.hl.com

H1B Sponsorship

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Trends of Total Sponsorships

2023 (18)

2022 (28)

2021 (80)

2020 (26)