Compliance Marketing Analyst - Investment Firm

Boston, MA 02210

Posted: 01/11/2019 Employment Type: Contract Specialty: Accounting & Finance Job Number: 82821

A leading investment management company in Boston, MA is seeking a Compliance Marketing Analyst to join their team. In this contract role, you will have the opportunity to make lasting connections with a renowned firm. Apply today!

Contract Employee Benefits:
  • Health and Dental
    • Contract employees are eligible for subsidized health and dental insurance coverage upon completion of 120 hours on assignment within four (4) consecutive weeks working a minimum of thirty (30) hours per week.
  • Paid Sick Leave
    • Contract employees who are employed to work in the Commonwealth of MA may accrue and use up to forty (40) hours of paid sick leave per calendar year in increments of no less than one (1) hour.
  • 401(k) Plan
    • Regularly recruited contract employees, who are U.S. citizens aged twenty-one (21) or older, are eligible to contribute to KNF&T’ s retirement savings plan with Fidelity Investments.
  • Short Term Disability
    • Contract employees are eligible for subsidized short term disability, covering up to 12 weeks of a disability including maternity leave.
  • Free Training
    • KNF&T uses a state of the art e-Learning software training system. We encourage all our contractors to take advantage of this training, which is available 24 hours a day, 7 days a week.

Responsibilities for the Compliance Marketing Analyst:
  • Aid in execution of the firm’ s program for the review and supervision of marketing activities
  • Provide advice on the application of the firm’ s marketing guidelines to business representatives in their preparation of marketing materials and other external communications
  • Perform reviews of marketing materials for and conduct testing of compliance with applicable regulations and marketing policies and procedures
  • Assess compliance risks related to the firm’ s marketing activities and communicate effectively with the business, including members of senior management
  • Coordinate with global compliance professionals to maintain a consistent and global compliance program over the firm’ s marketing activities
  • Monitor regulatory developments regarding advertising and marketing and assess impact to the firm’ s activities as appropriate
  • Liaise effectively with business representatives on training, awareness and communication needs
  • Develop and deliver such trainings and communications as appropriate
  • Maintain and revise the firm’ s marketing policies and procedures and related training content
  • Assist with examinations and reviews by internal and external parties
  • Perform special projects and other duties as assigned
Requirements for the Compliance Marketing Analyst:
  • Bachelor’ s Degree
  • 2-5 years of experience with an investment adviser, broker-dealer and/or compliance consultant, preferably to include experience with marketing reviews
  • Knowledge of rules and regulations applicable to marketing and communications activities with an emphasis on SEC,  FINRA, CFTC and NFA advertising and sales literature compliance
  • Knowledge about comparable non-US laws and regulations and GIPS® standards and guidelines preferred
  • Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment
  • Service oriented: ability to balance regulatory and policy standards along with a business perspective
  • Ability to work well in a fast-paced environment
  • Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines
  • Superior written and oral communication skills; confidence interacting with all levels of management
  • FINRA Series 7 and Series 24 (candidate must have or obtain after employment)
  • Technology savvy with a strong knowledge working with Microsoft Office
  • Strong organizational skills with great attention to detail
  • Strong multi-tasking and prioritizing skills with the ability to meet deadlines
  • Excellent written and verbal communication skills
  • Strong interpersonal skills with a customer service focus
  • Ability to work independently and as part of a team
  • Must be eligible to work in the U.S. without sponsorship                     
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