Compliance Analyst, Marketing
GQG Partners is a rapidly growing boutique investment management firm focused on global and emerging markets equities. Our primary responsibility is to help our clients secure their financial future and we endeavor to create a business that is deeply aligned with our clients’ financial interests. We strive for excellence at all levels of our organization through a commitment to independent thinking, continual growth, cultural integrity and a deep knowledge of the markets.
The Compliance Analyst, Marketing will be a key support role within the Compliance team and will be responsible to manage the advertising and marketing material review process. This individual will have sound understanding of the application of regulatory obligations. The individual will be expected to partner with the business and use sound judgment.
Job Title: Compliance Analyst, Marketing
Manager/Supervisor: Chief Compliance Officer
Number of Direct Reports: None
Part Time/Full Time: Full Time
Location: Fort Lauderdale, FL; New York, NY; or Seattle, WA
The Compliance Analyst is responsible for reviewing marketing material content, including responses to requests for proposals/information, to ensure compliance with regulatory requirements imposed by the SEC, FINRA and certain non-US regulators. Responsibilities include:
- Understanding regulatory obligations and applying that understanding to material review consistently and efficiently.
- Partnering with and providing guidance to the business so materials are appropriate for the audience and comply with regulatory requirements.
- Reviewing, commenting and approving materials in a constructive and timely manner.
- Coordinating with key stakeholders including Client Services, Marketing, Sales and Investments.
- Managing compliance relationships with compliance staff at third parties that review certain materials.
- Maintaining policies and procedures regarding marketing material content and review.
- Preparing and maintaining FAQs for staff regarding marketing material content.
- Conducting periodic compliance testing, risk assessments or other assignments that may be unrelated to marketing materials, as requested.
The Compliance Analyst must independently research issues, collaborate with other groups, and communicate internally with team members, client services, marketing, investments, operations, and the Legal department.
- A major in business/finance, economics or English preferred or equivalent work experience (5+ years’ experience in reviewing marketing material for an investment adviser or broker/dealer)
- Honesty and integrity
- Experience with managing a marketing material compliance review & approval process end-to-end
- Sound understanding and application of SEC and/or FINRA requirements related to sales literature and advertising
- Understanding of performance reporting standards
- Strong organizational and time management skills to meet deadlines
- Effective verbal, written and interpersonal communication skills
- Ability to work both in a team environment and independently
- Strong proficiency level with MS Word, Excel, PowerPoint and Adobe
If interested, please send your résumé and a cover letter detailing your interest in the position to firstname.lastname@example.org.
GQG Partners LLC is an Equal Opportunity Employer and will not engage in unlawful discrimination on any basis prohibited by local, state or federal law. This policy applies to all aspects of employment, including recruitment, placement, promotion, transfer, demotion, compensation, benefits, social and recreational activities and termination.
For more information about equal employment opportunity, please click here for “EEO Is the Law.” GQG Partners LLC may participate in E-Verify, please view the following links for details in English and Spanish. For information regarding your Right to Work, click here for details in English and Spanish.