Offer summary

Qualifications:

Familiarity with SEC Rule 206(4)-1 regarding investment adviser marketing., 4+ years of experience reviewing investment adviser advertising/marketing materials, preferably for private fund advisers., Strong problem-solving and analytical skills, with excellent interpersonal abilities., Proficient in Microsoft Office Suite and experience with Salesforce or similar CRM systems..

Key responsibilities:

Review client advertising and marketing materials for compliance with SEC and state regulations.

Administer client code of ethics requirements, including employee onboarding and certification management.

Assist with regulatory filing processes and maintain various compliance-related submissions.

Support the Managed Services team with additional tasks as needed.

Job description

Who Are We:

We are COMPLY.

For compliance people.

COMPLY is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Our OneCOMPLYTM platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services.

COMPLY serves thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on COMPLY to power their compliance programs.

To learn more about COMPLY, visit COMPLY.com

COMPLY is seeking a Managed Services - Marketing Review Analyst to join our growing team! Reporting into our Compliance Manager, this person will be primarily responsible for review of investment adviser marketing materials for COMPLY’s clients. The individual will also gain exposure to a variety of compliance and regulatory matters for financial services firms as outlines below. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by providing strong regulatory review of investment adviser advertising.

Responsibilities:

Review client advertising/marketing materials (including articles, blogs, performance advertising, podcasts, newsletters, pitch decks, etc.) for consistency with applicable SEC or state regulatory requirements.

Review client emails using a combination of keyword flags and random sampling to identify potential issues.

Help administer client code of ethics requirements via ComplySci or MyRIACompliance platform, including:

oEmployee onboarding and offboarding assistance.

oCertification and Attestation management by assisting with creation and editing of certifications.

oEmployee Personal Trading system maintenance and by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting.

oGifts and Entertainment maintenance and administration by reviewing submissions and reporting findings.

oOutside Business Activities maintenance and administration by reviewing submissions and reporting findings.

oPrivate Placements administration reviews by reviewing submissions and reporting findings.

oList maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on client’s specific update items.

oStandard report creation and maintenance by preparing standard out-of-the-box reports from ComplySci.

oPolitical contribution monitoring by reviewing submissions and reporting findings.

Assist with various regulatory filing processes, such as Form 13F.

Assist Managed Services team with various other tasks.

Qualifications:

Familiarity with SEC Rule 206(4)-1 regarding investment adviser marketing.

4+ years’ experience reviewing investment adviser advertising/marketing materials, ideally with a focus on private fund advisers.

Ability to multitask in performing complex responsibilities across multiple projects.

Skilled in problem solving and analytical thinking.

Excellent interpersonal skills, with the ability to manage relationships with stakeholders at all levels.

Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook).

Experience with Salesforce (or other CRM systems) and general SaaS technology software support is a plus.

Understanding of the ComplySci platform and MyRIACompliance platform is a plus.

Ability to work effectively and flexibly within a client service-oriented, collaborative environment.

Exceptional organizational and time management skills.

COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.

The company offers a wide range of perks including:

- Comprehensive medical, dental and vision insurance at little to no cost starting on day one

- 401k with a company match

- Supplemental benefits at a discounted rate including home, auto and pet insurance

- Unlimited PTO

- Professional Development reimbursements

- Remote opportunities available for most positions

- Time to get together in person for company happy hours, team offsites and more

Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.

COMPLY is aware of scammers posing as COMPLY employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.

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