Job title: Marketing Compliance Reviewer
Company: Kore 1
Job description: KORE1, a nationwide provider of staffing and recruiting solutions, has an immediate opening for a Marketing Compliance Specialist
- No 3rd Parties
- Contract Role
- Duration: 3-6 Months
- Pay Rate: $45.00-$50.00 per hour
- Onsite: Austin, TX or Newport Beach, CA
- Series 7 and 24 in order to be considered
Experienced Marketing Compliance ReviewerMarketing Compliance Reviewer:The Marketing Compliance Reviewer will join the compliance team within the Legal and Compliance Department of our client. This role involves collaborating with the Compliance Marketing Review team to facilitate the review of the firm’s marketing materials. The primary focus will be on ensuring compliance with regulatory requirements and internal policies and procedures related to our client’s investment advisory and distribution activities.Additionally, responsibilities may include contributing to compliance initiatives, conducting research, making recommendations, and participating in projects aimed at enhancing our client’s compliance programs and processes. Collaboration with teams across various functional areas within the firm and with international offices may also be required.Key success factors for this role include the ability to multitask, strong organizational skills, timely provision of accurate and practical advice, and effective communication (both written and verbal). Building strong internal relationships with members of the Legal & Compliance Team and fostering partnerships with marketing communications, product management, and operations are essential.Our client boasts a global Legal & Compliance department with over 200 professionals, working together closely across regions to address legal and compliance challenges.Job Requirements
- Minimum requirement Bachelor’s Degree or international equivalent
- 2-7 years of marketing compliance experience with a large and diverse investment management firm or an investment management division of a financial services/ insurance company
- FINRA Licensing Requirement: Series 7 and 24 is required to be considered.
- Strong knowledge of regulatory requirements applicable to investment managers including the Investment Advisers Act and Investment Company Act (knowledge of Broker-Dealer compliance requirements a plus)
- Experience reviewing different types of institutional and retail marketing collateral including RFPs, registered fund materials, website & social media content, customized client presentations and distribution materials for the retail channel
- Experience reviewing alternative investments marketing material, including hedge fund, real estate and private credit preferred
- Experience with a diverse set of investment products (e.g., open-end mutual funds, collective investment trusts, closed-end funds, ETFs, interval funds, separate accounts and private funds) and strategies (e.g., fixed income, equities, derivatives, commodities and alternatives) preferred
- Familiarity with cross-border financial product offerings preferred
- Experience working independently (while collaborating with a broader team) and interacting with senior management
- Demonstrated ability to execute projects/initiatives in a focused and highly tactical manner
- Ability to flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictate
- Focus on specific personal and team goals and demonstrate a sense of personal growth, accountability and urgency for achieving results
ABOUT KORE1
Specializing in professional and technical recruiting, KORE1 is committed to supporting top IT, Engineering, Creative, Scientific, Accounting and Finance professionals in their career paths. We build deep relationships with leading companies, connecting them to exceptional talent every day. With extensive industry expertise and unmatched opportunities, our goal is to provide a unique experience for our contractors and consultants as they prepare for their next role. We are passionate about matching the right people with the right companies.Kore1 provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, Kore1 complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. Kore1 expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of Kore1’s employees to perform their job duties may result in discipline up to and including discharge.
Expected salary:
Location: Newport Beach, CA
Job date: Thu, 01 Aug 2024 00:47:17 GMT
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