Job Description
Job Title: Senior Compliance Analyst, MR-Distributor
The Opportunity:
Responsible for the review and approval of Fund marketing materials according to FINRA/SEC Communication with the Public rules for ACA Foreside Distribution clients. Materials include, but are not limited to, fact sheets, websites, reprints, presentations, reports, letters, social media and internal communications.
What you’ll do:
Perform the review and S24 principal approval (as needed) of Mutual Fund, ETF, Closed End Funds and Private Placement material to ensure compliance with FINRA Communications with the Public Rules. Follow policies and procedures to ensure compliance. Work with other team members, assisting with filing requirements as defined by FINRA Rules. Frequent interaction with ACA Distribution clients and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues Monitor compliance an...