Role details

Marketing Review Compliance Analyst

New York   •  Permanent

Bullet points

  • Global Bank seeks Marketing Review Officer
  • Great opportunity for junior-mid level compliance officer

About Our Client

Global bank with a presence in midtown!

Job Description

  • Review marketing materials (series 24 licence a must)
  • Collaborate with Legal and other Compliance departments, when necessary, in review and compliance approval of marketing materials
  • Review e-mail correspondence to ensure compliance with bank and securities policies and regulations
  • Assist in the drafting of internal operating procedures
  • Stay current with all changes to applicable rules and regulations

The Successful Applicant

  • Bachelor's degree or equivalent; JD preferred
  • Series 7 and 24 (a must)
  • 3-5 years of compliance experience at a financial institution such as a bank or broker-dealer
  • Experience with public communications rules and industry best practices for marketing materials for compliance with SEC and FINRA rules

What's on Offer

Exciting opportunity to join a growing team!

Apply for this job

Click the Apply or LinkedIn button below or contact Edward Whitehead quoting job reference 1211096
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