Marketing Compliance Officer

Arrow Search Partners; New York (NY); On-site; USD 110,000 - 170,000; Full time

Job summary

Arrow Search Partners, a multi-strategy investment management firm in New York, is seeking a Compliance Officer to support its marketing compliance initiative and generalist compliance duties such as testing and surveillance.

The role requires a Bachelor's Degree, Series 7/24 preferred, and 2-6 years of compliance experience within an investment management environment.

Qualifications

• Bachelor's degree in a related field.
• Series 7 and 24 preferred.
• 2-6 years of compliance experience.
• Experience at an investment management firm.

Responsibilities

• Act as a key resource on regulatory requirements under the Investment Advisers Act, including the SEC Marketing Rule, and provide guidance on marketing and investor communications.
• Monitor and interpret new and evolving regulatory requirements, evaluating their potential business and operational implications.
• Provide compliance and regulatory review of marketing and fundraising materials for identifying and mitigating risks.
• Collaborate with Legal and business stakeholders to support the design, launch, and ongoing management of new products and investment strategies.
• Support code of ethics, surveillance, testing and other compliance initiatives.

Skills

Regulatory compliance

Investment management

SEC/regulatory rules

Policy interpretation

Education

Bachelor's degree

Job description

Our client, a mulit-strategy investment management firm, is looking to add a compliance officer to support their marketing compliance initiative. This role will also provide an opportunity to work on generalist compliance responsibilities such as testing and surveillance as well.

Responsibilities:

• Act as a key resource on regulatory requirements under the Investment Advisers Act, including the SEC Marketing Rule, and provide guidance on matters impacting marketing and investor communications.
• Monitor and interpret new and evolving regulatory requirements, evaluating their potential business and operational implications.
• Provide compliance and regulatory review of marketing and fundraising materials for identifying and mitigating legal, regulatory, and reputational risks.
• Collaborate with Legal and business stakeholders to support the design, launch, and ongoing management of new products and investment strategies.
• Support code of ethics, surveillance, testing and other compliance initiatives.

Requirements

• Bachelor's Degree
• Series 7 and 24 preferred
• 2-6 years of compliance experience
• Experience at an investment management firm