Marketing Compliance Reviewer
No 3rd Parties -
Contract Role-
Duration: 3-6 Months-Pay Rate: $45.00-$50.00 per hour-
Onsite: Austin, TX or Newport Beach, CA-
Series 7 and 24 in order to be considered
Experienced Marketing Compliance Reviewer
Marketing Compliance Reviewer:
The Marketing Compliance Reviewer will join the compliance team within the Legal and Compliance Department of our client. This role involves collaborating with the Compliance Marketing Review team to facilitate the review of the firm's marketing materials.The primary focus will be on ensuring compliance with regulatory requirements and internal policies and procedures related to our client's investment advisory and distribution activities.
Additionally, responsibilities may include contributing to compliance initiatives, conducting research, making recommendations, and participating in projects aimed at enhancing our client's compliance programs and processes. Collaboration with teams across various functional areas within the firm and with international offices may also be required.
Key success factors for this role include the ability to multitask, strong organizational skills, timely provision of accurate and practical advice, and effective communication (both written and verbal). Building strong internal relationships with members of the Legal & Compliance Team and fostering partnerships with marketing communications, product management, and operations are essential.
Our client boasts a global Legal & Compliance department with over 200 professionals, working together closely across regions to address legal and compliance challenges.