Marketing and Governance Compliance Associate

Manhattan Permanent USD80,000 - USD100,000
  • Opportunity to join a firm that offers uncapped PTO
  • Opportunity to join a firm that supports work-life balance

About Our Client

Our client is a top investment solutions provider, assisting investors worldwide. Their office is located in Manhattan, NY.

Job Description

Key Responsibilities Include-

  • Analyze new marketing materials for compliance with the firm's regulators (SEC & FINRA)
  • Collaborate across multiple lines of business to approve any necessary communications
  • Confirm that all communication is in line with related guidelines from the firm's regulators
  • Oversee compliance projects associated with marketing items, continually update policies, and perform trainings periodically
  • Support the team with any additional compliance related needs
  • Help with any corporate governance related matters, such as documentation of minutes, preparing for board meetings, agendas, etc.
  • Maintain and update entity management systems
  • Handle any RFI requests from both internal and external parties
  • Work on any related legal documents such as power of attorneys, incumbency certificates, and certified filings from the secretary of state

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Required Qualifications-

  • Bachelor's Degree with good academic standing
  • At least 2 years of relevant job experience in compliance marketing review
  • Strong computer and Microsoft Office Suite skills.
  • Ability to communicate with C-suite associates, both written and verbally
  • Willingness to commute into the Manhattan office

Preferred Qualifications-

  • Juris Doctorate degree from a reputable law firm
  • Coming from a wealth or investment management background
  • Prior experience using BluePrint, Hcue, or GEMS

What's on Offer

What's On Offer-

  • Hybrid working model
  • Medical, Dental, Vision benefits
  • Annual discretionary bonus
  • Retirement plan with employer match
  • Uncapped paid time off
  • An organization that supports work-life balance
Rachel Kobisher
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Job summary

Banking & Financial Services
Sub Sector
Compliance & Legal
Financial Services
Contract Type
Consultant name
Rachel Kobisher
Job Reference