Marketing Review Analyst - Managed Services - Remote

Overview

COMPLY is seeking a Managed Services - Marketing Review Analyst to join our team, primarily responsible for reviewing investment adviser marketing materials for compliance with regulatory requirements.

In Short

• Review client advertising/marketing materials for SEC compliance.
• Analyze client emails for potential regulatory issues.
• Administer client code of ethics requirements.
• Assist with regulatory filing processes.
• Manage employee trading system and related submissions.
• Prepare standard reports using ComplySci.
• Monitor political contributions and report findings.
• Collaborate with Managed Services team on various tasks.
• Maintain lists and records for compliance.
• Engage with clients in a service-oriented environment.

Requirements

• 4+ years of experience in reviewing investment adviser advertising.
• Familiarity with SEC Rule 206(4)-1.
• Strong analytical and problem-solving skills.
• Excellent interpersonal and relationship management skills.
• Proficient in Microsoft Office Suite.
• Experience with Salesforce or similar CRM systems.
• Ability to multitask across various projects.
• Exceptional organizational and time management skills.
• Experience with ComplySci and MyRIACompliance platforms is a plus.
• Ability to work in a collaborative client service environment.

Benefits

• Opportunity to work in a leading compliance software company.
• Exposure to a variety of compliance and regulatory matters.
• Collaborative and supportive team environment.
• Professional development opportunities.
• Flexible working arrangements.