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Advertising, Marketing Materials Review Compliance

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POST DATE 8/17/2016
END DATE 12/19/2016

The Compliance Search Group Los Angeles, CA

Los Angeles, CA
AJE Ref #
Job Classification
Full Time
Job Type
Company Ref #



Our client is a leading global investment management firm with decades of asset management experience.
The company seeks an experienced Advertising, Sales Literature, and Marketing Materials Review Compliance professional.


The Compliance professional will primarily be responsible for reviewing, commenting on and revising marketing material to ensure compliance with applicable SEC and FINRA rules, regulation and guidance.
The qualified candidate will also assist the broker dealer CCO with the oversight and supervision of the broker dealer, including conducting or assisting with branch office inspections.

This is a hands-on position in compliance within an organization of approximately 600 employees. The individual will also be requested to assist in other areas of compliance as needs arise.


* Develop a strong understanding of SEC and FINRA rules, regulations and guidelines regarding marketing compliance
* Review, comment and revise domestic and international marketing materials to ensure compliance with applicable rules and regulations
* Assist broker dealer CCO with various compliance related matters, filings, and supervision of registered representatives
* Provide assistance to RFP and Legal departments for the completion and review of RFP's, RFI's, 15(c)'s, and questionnaires
* Assist in the preparation for and travel to other broker dealer offices for branch office inspections as needed

Minimum Qualifications:

* Bachelor's Degreerequired; relevant certifications or advanced degree desirable
* 5+ years of relevant compliance related work experience
* 3+ years of experience with marketing material review and broker dealer compliance
* Prior compliance experience with registered investment company's
* Active Series 7 License
* Active Series 24 License or must complete the examination within one year of hire
* Experience in the financial services industry
* Excellent people skills; demonstrated success in building and maintaining strong internal and external relationships
* Strong organizational and time management skills; ability to effectively identify and prioritize the most critical tasks
* Excellent communication and presentation skills
* A desire to continually improve processes by researching and implementing best practices
* Exercises good judgment and maintains strict confidentiality
* A team player with the ability and willingness to pitch in as needed in areas outside one's own core expertise