Marketing Review Compliance Analyst
- 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!
- 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
- 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
Exciting opportunity to join a growing team!