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Compliance Analyst

  • Stamford, CT
  • Full Time

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Asset management company located in Stamford Connecticut looking to bring on board a “Compliance Analyst” to join their team. They are currently in office (2 days a week).

*Assist with regulatory marketing filings, including Free Writing Prospectuses
*Work closely with Marketing and Sales colleagues to ensure compliance with the Firm’s policies and procedures and to assist with efficient functioning of marketing materials delivery and workflows
*Assist the Director of Compliance in facilitating the day-to-day operations of the Firm’s marketing compliance program, including the Free Writing Prospectus process and assist in reviewing advertising and marketing materials (including social media) for the Firm’s Registered Investment Adviser and Broker-Dealer
*Assist in the monitoring of marketing activities to promote compliance with internal policies, applicable rules and regulations
*Assist the Compliance team on special projects, as applicable
*Effectively work and communicate across all levels of the organization
*Develop in-depth knowledge of the Firm’s investment products and capabilities
*Stay current on developments in the digital currency ecosystem