Compliance Officer

Description:

JCW is currently partnering with an Asset Management firm who is looking to bring on a new Compliance Officer to their team. Candidates will provide guidance regarding Marketing Compliance for different business units within the firm.

Responsibilities include:

• Timely review of proposed advertising and marketing materials to remain compliant with relevant Regulatory Organizations.
• Maintenance and development of compliance policies and procedures around Marketing Materials, and Communications as needed due to changing regulations.
• Proactively identifying opportunities to improve compliance efficiencies and minimize risks.

Position requirements:

• 5+ years of experience in the financial services industry
• Strong knowledge of the Investment Advisor Act and strong working knowledge of SEC and FINRA rules/regulations.
• JD/MBA preferred