Marketing and Distribution Compliance

Immediate need for a talented Marketing and Distribution Compliance. This is a 06+ Months Contract opportunity with long-term potential and is located in New York, NY (Hybrid). Please review the job description below and contact me ASAP if you are interested.

Job ID:25-89986

Pay Range: $70 - $74.93/hour.  Employee benefits include, but are not limited to, health insurance (medical, dental, vision), 401(k) plan, and paid sick leave (depending on work location).
 
Key Responsibilities:

• This individual will be part of a larger global team and will work on projects and initiatives, advise on sales and marketing materials and manage internal stakeholder relationships and deliver on a challenging project pipeline.

Key Requirements and Technology Experience:

• Skills-Marketing Compliance: Experience reviewing and approving marketing materials for funds, PMG products, or investment communications under regulatory standards.
• Investment Advisers Act / SEC Marketing Rule (Rule 206(4)-1): Experience with SEC rules governing marketing and distribution compliance in asset management.
• Asset Management Compliance: Compliance specialists from asset managers, hedge funds, or investment firms with fund marketing oversight experience.
• Distribution Compliance / Regulatory Compliance: Experience in managing compliance for product distribution, fund launches, and investor communications across multiple channels.
• Strong knowledge of asset management business
• Knowledge of Marketing and Distribution regulations
• Strong analytical skills
• Strong written and oral communication skills
• High standard of accuracy and excellent attention to detail
• Ability to prioritize workloads, multi-task and adhere to deadlines
• Excellent organizational and project management skills
• Collaborative team player, ability to work on team projects
• Strong knowledge of asset management business
• Knowledge of Marketing and Distribution regulations
• 6 - 8 years of experience in Marketing Distribution
• Serve as a subject matter expert with respect to guidance under the Advisers Act including the SEC Marketing Rule and other rules and regulations related to marketing and investor communications
• Analyze rules and regulations, including regulatory developments, to assess the commercial impact on the businesses covered
• Review and advise on marketing materials for PMG teams helping to assess regulatory and business risk
• Partner with Legal & Compliance colleagues, and business partners on the launch and development of new PMG products and strategies
• Develop educational materials and deliver trainings for business partners with respect to marketing and fundraising regulations with a focus on PMG funds and strategies
• Participate on working groups with internal stakeholders to support PMG initiatives
• Work closely with global colleagues to help develop and ensure consistency of policies and procedures

Our client is a leading financial services Industry and we are currently interviewing to fill this and other similar contract positions. If you are interested in this position, please apply online for immediate consideration.
 
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