Marketing Compliance Analyst (Asset Management)

We are looking for a Marketing Compliance Analyst to join our Client Lifecycle Management (CLM) team to support one of our clients, a global asset manager, with the review and approval of client-facing marketing and communications materials. This role sits within Compliance and is responsible for reviewing marketing collateral, sales materials, fund communications, and other externally distributed content to ensure compliance with applicable regulatory requirements and internal standards.

This is a great opportunity to join our fast-growing business within our CLM department working with some of the world’s leading financial institutions. The preferred candidate will have at least two years of marketing experience relative to financial services, supported by great attention to detail, organizational and communication skills, and an ability to work in high pressured environments and to tight deadlines. Candidates with equivalent paralegal and document review experience may also be considered. To learn more about our CLM department click here Client Lifecycle Management (deltacapita.com)

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  Control the pipeline of client-facing marketing materials and allocate the work throughout the team to ensure completion within prescribed timeframes.

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  Assess content for SEC, FINRA, state, and internal compliance requirements.

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  Address queries sent through the marketing distribution - or divert to relevant team members as needed.

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  Conduct thorough reviews of marketing materials to identify and mitigate potential compliance risks.

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  Partner with Legal, Compliance, Product, Relationship Management, and Sales teams.

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  Stay updated on changes in regulations and industry standards related to marketing compliance.

• Bachelor’s Degree (Finance, Business, Law, or related field)

• 2+ years of experience in asset management, wealth management, investment advisory, broker-dealer compliance, marketing compliance, advertising review, regulatory review, legal document review, or financial services compliance.

• Critical eye for detail to ensure material being distributed is appropriate for the audience and to the relevant jurisdiction.

• Ability to think independently, to navigate guidelines as given and make clear decisions when advising the business on how to ensure materials are compliant.

• Strong problem-solving skills and effective communication skills.