To be successful in this role, you should have strong experience with mutual fund, variable annuity and/or ETF advertising/marketing review experience. -Coordinate with the Marketing department and various other internal departments, personnel and business units in order to timely review and approve all communications. -Assist in conducting testing of various policies and procedures -Maintain the records of all approved materials as per SEC recordkeeping rules and internal policies and procedures -Work closely with the Compliance Team and assist in any other compliance-related functions and ad hoc projects 5 to 7 years of relevant marketing/advertising review and compliance experience Proficient in the rules and requirements of FINRA and the Securities Act of 1934 as it relates to communications with the public
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