Compliance Consultant

Review, approve, and file advertising and other Communications with the Public materials pursuant to regulatory requirements for the firm’s products and services including mutual funds, 529 plan. ETFs, CITs, SMA, and model portfolios.

Reviews will include but are not limited to fact sheets, seminars, websites, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, RFPs, newsletter, and print and TV ads.

Assist with preparation of regulatory filings and revisions

Participate in projects, as needed, to support the compliance team and business partners

Act as an individual contributor, set direction, establish goals and manage the tasks assigned

Establish and maintain strong working relationships with the business units

Capable of handling advanced compliance work

Assist team members with tasks and assignments as needed

Support the development, implementation and maintenance of policies and procedures that enable the firm to remain in compliance with regulatory requirements

Represent Compliance on segment-wide or global projects.

Work with regulators as needed

Participate in industry forums/working group to stay current on regulatory trends and up to date with industry peer standards

Collaborate with all areas of the organization to ensure compliance needs and business goals are met

Share best practices with other team members, thus ensuring consistency in the way business/process/products are developed and maintained to be in compliance with regulatory and company requirements

As a team member of the Global Distribution Compliance Center of Expertise, you will enjoy working and collaborating with different compliance groups who support our different businesses – insurance, retirement, wealth and asset management - and will gain a sound understanding of, and exposure to, the different financial products and services we distribute across the globe.

FINRA Series 7 and 24 strongly preferred. Candidates may be considered without these licenses but must obtain them within six months. Series 51 is a plus.

Prior advertising review experience including is recommended

Understanding of FINRA advertising standards as they apply to the broker-dealer advertising, specifically the Investment Company Act of 1940 and SEC rules as they apply to Investment Advisor advertising, specifically the Investment Advisor Act of 1940

Extensive knowledge of investment products including mutual funds, variable products, and separately managed accounts.

Advanced understanding of the regulatory environment in which the Company operates and a strong understanding of key compliance requirements applicable to the business.

Knowledge and proficiency with AI tools, including the ability to use AI to streamline workflow, analyze information, and support compliance processes.

Minimum 3-5 years of related financial services, compliance or management experience.

Excellent organizational skills and written and verbal communication skills

Strong ethical compass

Relationship building skills

Strong project management skills

Ability to work independently and as part of a team

Ability to work with all levels of management in the organization.

Ability to facilitate decision making across groups in the company.

Ability to analyze information, make appropriate recommendations

Able to make decisions regarding compliance with limited guidance and assistance.

Able to prioritize and reprioritize work deliverables and projects for internal clients based on changing business needs

We’ll empower you to learn and grow the career you want.

We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.

As part of our global team, we’ll support you in shaping the future you want to see.