Marketing Review Compliance Analyst

  • Negotiable
  • Manhattan, NY, USA
  • Permanent, Full time
  • Michael Page International - US
  • 22 Sep 16

A global bank in midtown seeks compliance marketing review officer to support a number of the firms' businesses. A significant portion of time is expected to be devoted to reviewing marketing materials to ensure compliance with various federal, state & FINRA regulatory requirements and conduct email monitoring.

Global bank with a presence in midtown!

Description

  • Review marketing materials (series 24 licence a must)
  • Collaborate with Legal and other Compliance departments, when necessary, in review and compliance approval of marketing materials
  • Review e-mail correspondence to ensure compliance with bank and securities policies and regulations
  • Assist in the drafting of internal operating procedures
  • Stay current with all changes to applicable rules and regulations

Profile

  • Bachelor's degree or equivalent; JD preferred
  • Series 7 and 24 (a must)
  • 3-5 years of compliance experience at a financial institution such as a bank or broker-dealer
  • Experience with public communications rules and industry best practices for marketing materials for compliance with SEC and FINRA rules

Job Offer

Exciting opportunity to join a growing team!