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Associate Director, Sales Practice ComplianceNew York, NYThe Associate Director, Sales Practice Compliance is responsible for coordinating the review of marketing materials of offices located in and outside of the US. Such activities include, but are not limited to, reviewing, record keeping and coordinating advertising and marketing materials utilized by the firm in the offering and placement of its investment advisory products and services to ensure those materials, and the manner in which they are distributed, comply with applicable securities laws and regulations and firm standards. In addition, the Associate will assist in meeting the regulatory requirements of the Broker-Dealer. Job Responsibilities & Requirements * Review key advertising and marketing materials, press releases, requests for proposal, website postings, seminar... See job listing >30+ days ago from Doostang - Save - Block - Flag - More Tools...
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Headquarters:
4654 N Kenmore Ave
Chicago, IL 60640
Phone: 773-878-5150
http://www.northyard.net - Line of Business: Property Management
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Key Numbers:
Company Type Private Company Revenue Less than $5M Company Size Less than 10 employees
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