Job Description
Key Responsibilities
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- Review and evaluate a broad range of investor communications, promotional content, research materials, digital media, and client deliverables for regulatory compliance.
- Assess communications across diverse investment products and strategies against applicable regulatory standards and internal compliance requirements.
- Evaluate complex investment presentations and performance-related disclosures, including hypothetical results and modeled investment scenarios.
- Advise business development and investment teams on compliant communication practices, identifying potential issues and recommending practical solutions.
- Track regulatory developments and interpret their implications for business activities, marketing practices, and investment-related communications.
- Monitor industry guidance, regulatory announcements, and emerging compliance risks to help maintain effective oversight.
- Contribute to the development, enhancement, and maintenance of internal compliance policies and procedures.
- Develop and deliver employee guidance, educational resources, and training on relevant regulatory obligations and firm standards.
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