The individual will have responsibility to ensure all marketing materials are in compliance with internal policies and regulatory requirements. He/She will be one of the contacts for the Client Relations (including Diligence Services, Marketing Programs & Collateral, Client Services and Portfolio Analysis & Reporting teams) and Corporate Communications/Investor Relations departments. In addition, the individual will be responsible for the books and records requirements of compliance approved marketing materials.
- Reviewing requests for proposals and client questionnaires and creating sophisticated written responses related to the company’s compliance practices;
- Reviewing sales and marketing literature and associated disclosures for compliance with the Advisers Act, FINRA, CFTC/NFA rules and any non-U.S. requirements as applicable;
- Reviewing performance and other related presentations, verifying the accuracy of information and ensuring compliance with GIPS and SEC performance presentation standards;
- Keeping abreast of changes in regulatory requirements as it pertains to communications with prospective investors/clients;
- Maintaining the books and records of compliance approved marketing material;
- Interacting and communicating with internal departments such as Legal, Client Relations, Corporate Communications, Corporate Development, Accounting, and investment teams as well as external parties such as outside counsel and compliance consultants; and
- Performing various other tasks and projects as necessary.