Compliance Associate

Cyperus Group LLC; New York (NY); On-site; USD 100,000 - 155,000; Full time

Job summary

A prominent Investment Management firm in NYC is seeking a Compliance Associate. The ideal candidate will possess 3-5+ years of experience in Financial Services Compliance, specifically with Advertising & Marketing materials. Required qualifications include a college degree and Series 7 & 24 licenses. This full-time role offers a competitive salary range of $100,000-$155,000 annually along with an annual bonus.

Qualifications

• 3-5+ years of experience in Financial Services Industry or Compliance.
• Experience with Advertising & Marketing materials Compliance review required.
• Series 7 & 24 licenses are mandatory.

Responsibilities

• Develop and maintain guidelines for marketing and advertising materials review.
• Act as the internal expert on industry regulations related to sales and marketing.
• Review and approve advertising and sales materials.
• Create best practices for reviewing communication initiatives.
• Participate in special projects for marketing and sales literature review.

Skills

Financial Services Industry Compliance

Advertising & Marketing Compliance Review

Regulatory Knowledge

Analytical Skills

Education

College degree

Job description

Overview

Position: Compliance Associate.

Overview: A top Investment Management firm in NYC is searching for a Compliance Associate.

Must have:

• College degree plus 3-5+ years of Financial Services Industry / Compliance experience.
• Specifically - at least some of those years are doing Advertising & Marketing materials Compliance review and approvals.
• Series 7 & 24 is also required.

Responsibilities include:

• Developing and maintaining guidelines for the review and approval of marketing and advertising materials.
• Become the internal "go-to" person on industry regulations as it pertains to sales & marketing literature.
• Review, suggest changes and eventually approve advertising, sales and marketing materials.
• Create and maintain methods for best-practices when reviewing all communication initiatives.
• Participate in special projects as it pertains to the review of all marketing, advertising and sales literature.

If qualified & interested, email resume to [e-mail].

Base pay range

$100,000.00/yr - $155,000.00/yr

Additional compensation types

Annual Bonus

Seniority level

• Associate

Employment type

• Full-time

Job function

• Legal

Industries

• Financial Services and Investment Management