Compliance Officer – Distribution Compliance (Remote) Job #2498

Investment management firm headquartered in Chicago with over $62 billion in assets is seeking to hire Compliance Manager. The focus of this role is supporting the distribution organization within the company, primarily the review of marketing and advertising materials, including social media.  The successful candidate will be well-versed in the applicable SEC, FINRA, and NFA marketing and advertising rules and will serve as a trusted partner with the business as the company expands in new and innovative ways.  As a result, this role requires significant hands-on work in all areas of involvement.  A successful candidate will need to demonstrate strong attention to detail, well developed organizational skills, and the ability to handle multiple tasks at the same time in a fast-paced and increasingly complex organization. This position can be based in Boston, Chicago or fully remote.  Remote employees would be expected to travel to our Chicago or Boston offices from time-to-time. A bachelor’s degree or higher along with strong academic credentials required. Minimum of 5 years of hands-on advertising/marketing review experience in a financial services firm, consulting firm, or law firm. Experience with ETFs and multi-asset products and solutions and/or operating in a manager-of-managers structure would all be pluses. Experience in the investment management industry and strong knowledge of the regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations. Advanced proficiency with learning and administering technological applications.  Experience with Red Oak or similar advertising review software helpful. Series 7 and 24 preferred. Salary commensurate with experience.

Job Categories: Legal Staff
Job Titles: Compliance Officer
Practice Areas: Compliance

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