Man Group · 22 hours ago
Marketing Compliance Officer
New York
Full-time
Onsite
Mid Level
$120K/yr - $130K/yr
3+ years expMan Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients. They are seeking a Marketing Compliance Officer to coordinate compliance efforts across various teams, ensuring that all communications comply with applicable regulatory guidelines and assisting in the development of compliant marketing materials.
Financial Services
Responsibilities
Coordinate with various teams including investment management compliance, marketing, investment services, supervisory principal(s) and all applicable business units in order to timely review and approve all communications
Ensure that all communications comply with applicable regulatory guidelines in accordance with SEC, FINRA, NFA, CFTC, rules, laws and regulations
Assist in the drafting of appropriate disclosures
Conduct compliance monitoring program relating to marketing materials, update policies and procedures and conduct periodic training with personnel
Maintain the records of all approved materials as per SEC and FINRA recordkeeping rules and internal policies and procedures
Work closely with the Compliance Team and assist in any other Compliance related functions and ad hoc projects
Providing support in the Identification, analysis, implementation and monitoring of regulatory initiatives relevant to sales, distribution and marketing
Support the development of policies and guidance to ensure the firm has the necessary tools to produce compliant marketing materials
Qualification
Required
3+ years of marketing compliance experience in an asset management firm
Current Series 7 and 24 licenses
Proficient in the rules and requirements of the Investment Advisers Act of 1940 as it relates to marketing and advertising
Proficient in the rules and requirements of FINRA and the Securities Act of 1934 as it relates to communications with the public
Self-motivated with strong organizational, writing and communication skills
Ability to work in a busy environment and multi-task both in an independent, self-directed manner and also as part of a team
Detailed oriented and effective research skills
Ability to learn new systems
Benefits
Competitive holiday entitlements
Pension/401k
Life and long-term disability coverage
Group sick pay
Enhanced parental leave
Long-service leave
Private medical coverage
Discounted gym membership options
Pet insurance
Company
Man Group
Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Robyn Grew
CEO
Walter Owens
CEO Man Varagon
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