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Gerald Elliott posted a job: Regulatory Advertising Sales Marketing Compliance Analyst New York, NY "Top-tier financial services firm is seeking a Regulatory Advertising Sales Literature Compliance Analyst who will be responsible for providing compliance support for the Legal and Compliance Department, including, but not limited to: reviewing advertisements, sales literature, client servicing materials, press releases, television interviews, public speeches, internet site(s), requests for proposal; and special projects as assigned. Retention and maintenance of stated documents. Position entails working in a fast-paced team environment with heavy workload. Qualifications Experience equivalent to a four-year degree in business or related field. Proficiency in Excel, Microsoft Work, and Outlook. Previous legal/compliance experience with a broker-dealer or investment adviser of 3-5 years is desired. Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment. Service oriented: ability to balance regulatory and policy standards along with a business perspective. Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines. Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands. Must take initiative in learning and applying new skills and regulations. Superior written and oral communication skills; confidence interacting with all levels of management. NASD Series 7, 24 and 63, highly desirable or the ability to obtain within 3 months of employment. To apply please submit your resume to Info@compliancesearch.com" |
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