Marketing Compliance Reviewer
Company: INSPYR Solutions
Location: Newport Beach
Posted on: May 28, 2023
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Job Description:
Title: Marketing Compliance ReviewerLocation: Austin, TX
(Hybrid)Duration: 3-6+ MonthsCompensation: $50-65/hr W2Industry:
Financial Services, Wealth ManagementWork Requirements: US Citizen,
GC Holders or Authorized to Work in the US Job Description:The
Reviewer is responsible for working with the Compliance Marketing
Review team within the Legal and Compliance Department to
facilitate the review of the firm's marketing materials. The
candidate will primarily be responsible for assisting with the
implementation of the compliance requirements for the investment
advisory and distribution activities, focusing on the review of
marketing and advertising materials for compliance with regulatory
requirements and/or internal compliance policies and procedures.The
role may also entail working on compliance initiatives as well as
researching, recommending and participating in projects to help
enhance the compliance programs and processes. The candidate will
work closely with teams and individuals across all functional areas
within the firm as well as with non-U.S. offices.The Compliance
Reviewer must build solid internal relationships with members of
the Legal & Compliance Team and strong partnerships with marketing
communications, product management and operations. Keys to success
for this role are the ability to multitask, strong organizational
skills, the ability to provide accurate and direct practical advice
in a timely fashion, as well as possessing strong communication
skills (both written and verbal).You will be expected to interact
with people across functions and at all levels of seniority and
deal with issues in a "real time " and fast paced environment.
Skillset / Experience: 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 Have a strong sense of integrity, behaving consistently
with expressed values and ethical principles Our benefits package
includes: Comprehensive medical benefits Competitive pay, 401(k)
Retirement plan ...and much more!About INSPYR Solutions:TekPartners
and Genuent are becoming INSPYR Solutions. As a leading information
technology partner, we connect top IT talent with our clients to
provide innovative business solutions through our IT Staffing,
Professional Services, and Infrastructure Solutions divisions. We
understand and value the unique needs of highly-skilled information
technology professionals in the industry and always strive to stay
above the curve. Our company was founded on the following core
values: Be the Best, Understand the Urgency, Never Ever Give Up,
Have the Courage to Excel, and Make a Contribution. We take pride
in our business model and strive to create a positive workplace
environment through an exemplary culture.INSPYR Solutions 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, INSPYR complies with applicable state and
local laws governing nondiscrimination in employment in every
location in which the company has
facilities.#IND-FUNCTIONALPDN-993351d3-17cd-4d0b-9652-66a08e1bdc06
Keywords: INSPYR Solutions, Newport Beach , Marketing Compliance Reviewer, Advertising , Newport Beach, California
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