Compliance AnalystBookmark This
Robert Half Finance & Accounting
New York, NY
DescriptionRobert Half Financial Services is currently recruiting for a Compliance Analyst to join a large Asset Management firm. The compliance candidate will be responsible for review and approval of marketing material for distribution to clients and prospective clients. They will also be responsible for providing compliance advice and guidance to marketing and the business.
Prospect presentations, Product profiles, Commentaries
oReview institutional (equity and fixed income) and retail (sub-advisory and managed account) client and prospect marketing materials to ensure content is in compliance with Investment Advisor regulatory guidance; firm internal guidelines and is in compliance with GIPS.
RFPs; Due Diligence Questionnaires
oFunction as the liaison with the marketing department for completion of RFPs and due diligence questionnaires. Coordinate completion of compliance relevant sections with the entire compliance team. Review new content.
oCoordinate with Marketing, Legal and the Business on marketing materials for new strategies and products as well as the development of GIPS composite presentations.
oDevelop and amend marketing disclosures where needed.
Coordinate with Legal on international marketing materials (determining licensing and disclosure requirements for the respective country)
Other Compliance Monitoring
Assist with the Firms Anti-bribery/Anti-corruption policy and procedures.
Provide training and guidance to the business on the Anti-Bribery/ Anti-Corruption procedures.
Assist with the administering of broker/dealer registration requirements.
***Qualified candidates please email resumes to email@example.com***