Marketing Compliance Officer

Job Summary

A company is looking for a Compliance Officer, Marketing and Advertising.

Key Responsibilities

• Review and approve marketing and advertising materials for compliance with SEC regulations and firm policies
• Stay updated on regulatory developments and enhance advertising review documentation
• Support the Compliance team in engaging with business stakeholders and monitor published materials for ongoing compliance

Required Qualifications

• Bachelor's degree in business, Finance, Legal Studies, or related field
• 5+ years of experience in investment adviser compliance, specifically in marketing/advertising review
• Strong knowledge of SEC Rule 206(4)-1 and related advertising regulations
• Experience with compliance and corporate workflow tools systems