Job Title:
Compliance Officer, Marketing and Advertising
Job Code:
Job Category:
Job Type:
Job Location:
Boston - MA
Date Posted:
Dec 29 2021

Highly-esteemed Boston financial institution is seeking a Compliance Officer, Marketing and Advertising to join their growing team! The individual in this role will review marketing and advertising materials, including social media. The ideal candidate will be well-versed in the applicable SEC, FINRA, and NFA marketing and advertising rules.

Position Responsibilities:

  • Primary reviewer of marketing and advertising materials to ensure compliance with applicable regulatory requirements (e.g., FINRA, SEC, NFA) and filing of materials with regulators as needed
  • Determine how existing regulations apply to various categories of communications including retail, institutional, and internal use only materials
  • Draft new disclosure language as needed
  • Work closely and collaboratively with the Marketing Team on new initiatives
  • Provide thought leadership on existing marketing and advertising initiatives and the evolution of investment adviser and pooled vehicle marketing and advertising
  • Effectively and promptly remediate non-compliant situations
  • Implement and enhance compliance policies, procedures and processes
  • Design and deliver marketing and advertising training to internal constituents as needed
  • Be able and willing to articulate point of view and provide a compelling and inspiring rationale to persuade decision makers
  • Effectively manage and resolve conflicts and differences of opinions; build consensus among internal/external stakeholders
  • Quickly synthesize complex information to distill critical issues and recommendations that consider risks, benefits and alternative perspectives

Position Qualifications:

  • Bachelor's Degree with 5+ years advertising/marketing review experience in a financial services firm, consulting firm, or law firm
  • Experience with ETFs and multi-asset products and solutions and/or operating in a manager-of-managers structure would all be pluses
  • Experience in the investment management industry and strong knowledge of the regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations.
  • Advanced proficiency with learning and administering technological applications.
  • Series 7 and 24 preferred
  • Excellent interpersonal and communications skills, both written and verbal
  • Experience and strong knowledge of GIPS standards
  • Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy
  • Responsible for managing diverse and complex projects
Required Years of Experience:
Additional Info:
For more information contact: Lynn Tyburski (617)728-4100 |
Salary Range:


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