Compliance Specialist

The position will be primarily responsible for reviewing various prospective client deliverables and other similar materials – including marketing materials, responses to RFPs and RFIs, reports and correspondence from – to ensure adherence to applicable legal and regulatory requirements.RESPONSIBILITIES Work closely with the marketing team and provide review of all materials within a tight timeframe. Review and edit prospective client deliverables and other similar materials, including marketing materials, responses to RFPs and RFIs, reports, and correspondence.Interact with legal/compliance team to help resolve potential issues.Ensure internal consistency of form, data and content.Ensure compliance with regulatory (SEC, CFTC, FINRA, etc.) rules and regulations. EDUCATION, SKILLS AND EXPERIENCE REQUIREMENTSBachelor’s degree with a proven record of academic success. Any advanced degrees are a plus.3 years of experience working in a similar or related position.Aptitude and desire to work in a legal/compliance role in a client-driven environment within the alternative investment space is required.Interest in gaining knowledge of relevant regulatory rules and regulations—including SEC Advisers Act and FINRA rules relating to promotional materials and client reporting.Series 7, 24, and 63 licensing or the ability to obtain such licensing within 6 months of being requested to do so.