Marketing Consultant, Compliance

Marketers on Demand

Chicago – IL

MoD is looking for a Marketing Consultant, Compliance for a client of ours located in Chicago, IL. You will work closely with the executive leadership team in Compliance to develop, administer, and update the marketing review framework and related compliance policies and procedures.

Key Responsibilities:

•Manage the development and administration of the marketing review compliance programs and assist in defining and developing risk parameters.
•Assist in the performance of testing and oversight of the marketing policies and procedures applicable to adviser entities and funds.
•Partner with Legal, the RFP, Marketing and Performance teams to administer compliance responsibilities and to advise on regulatory risks and requirements.
•Liaise with management and different departments regarding special projects and regulatory initiatives.
•Assist in implementing new rules and processes.
•Coordinate and assist in regulatory examinations and/or audits and prepare information as needed.
•Understanding of changing marketing environment including social media and increased use of digital platforms.

Key Skills:

•Minimum of 5 years of experience in marketing at an asset management firm
•Strong familiarity with the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and related SEC guidance, FINRA rules and guidance applicable to marketing, 1933 Act rules applicable to funds
•Strong analytical and communication skills
•Familiarity with Red Oak and Seismic preferred but not required.

Does this sound like you or someone you know in your professional network? Then reach out to our President of Chaos, for more information!

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