What are the responsibilities and job description for the Marketing Compliance Analyst (Part-Time) position at Mission Staffing?
Our client, a well-known and successful wealth management firm, is looking to add a Compliance Manager to their Marketing and Distribution Team. This person will be responsible for overseeing the Wholesale Distribution team’s compliance program, and specific responsibilities include reviewing marketing materials, ensuring SEC and FINRA compliance guidelines, and suggesting and implementing new compliance policies and procedures. The idea candidate will come with 5-10 years of experience in marketing compliance, strong product knowledge in areas of Private Equity and Private Credit, and active Series 7 and 24 licenses.
Responsibilities Include:
- Reviewing all marketing and distribution materials to ensure compliance with SEC, FINRA, and internal guidelines
- Constant review and updating of the Wholesale Distribution team’s existing compliance policies
- Assist in developing and implementing new policies and procedures to update the team’s compliance program
Requirements:
- 5-10 years of marketing compliance experience for a large wealth management firm
- Strong product knowledge in areas of Private Equity, Real Estate, and Private Credit
- Active Series 7 and 24 licenses
Salary : $35 - $40
