layiq
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worthy; deserving; fitting; suitable.
A role, opportunity, or path that merits attention, time, and pursuit.
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Job opportunity
Associate, Marketing & Distribution Compliance
Future Standard
Philadelphia, Pennsylvania, United States
Source: Future Standard careers · View original posting
Employer job description
From Future Standard's posting. “We” and “our” refer to the employer.
Associate, Marketing & Distribution Compliance
The Associate, Marketing & Distribution Compliance function will support the review and approval of marketing and client materials across private and registered investment products. This individual will work closely with Marketing, Distribution, Legal, Client Services, and Compliance teams to ensure communications are fair, balanced, accurate, and compliant with applicable regulatory requirements.
THE SUCCESSUFUL CANDIDATE IS EXPECTED TO:
Review and approve institutional marketing materials, presentations, pitchbooks, fact sheets, due diligence questionnaires (DDQs), requests for proposals (RFPs), requests for information (RFIs), and investor communications.
Assist in ensuring compliance with the SEC Marketing Rule, FINRA Rule 2210, the Investment Advisers Act of 1940, the Securities Act of 1933, and other applicable regulatory requirements.
Support registered investment adviser marketing and distribution activities by providing compliance guidance to business stakeholders throughout the content development process.