Marketing Compliance Analyst
Location: New York, New York
Description: Oppenheimer Funds is currently seeking to employ Marketing Compliance Analyst right now, this job will be delegated in New York. More details about this job opportunity kindly read the description below. The Marketing Compliance Analyst will review, analyze and approve communications with the public to ensure compliance with regulatory requirements, internal guidelines, and other risk related issues. The individual will develop deep product expertise and knowledge of relevant regulations to be applied in reviewing materials ranging from complex investment “white papers†to streamlined web content. As a member of the Marketing Compliance Review team, this individual will be responsible for review of traditional advertising, marketing and sales literature, as well as emerging areas including social media, video, and other developing digital media such as internet sites, intranet sites, wikis, blogs and mobile applications that will promote thought leadership and OppenheimerFunds’ financial products. Under the direction of the Marketing Compliance Manager, this individual will work closely with the experts in the various marketing areas, subject matter expert attorneys in the Legal Department, FINRA, the SEC, and other regulatory entities involved in oversight of investment advertising, marketing material and sales literature.
Principal Responsibilities:
Review and approve the Firm’s postings on Twitter, Facebook and other social networking websites to ensure compliance with FINRA Regulatory Notices 10-06 and 11-39 and other regulatory guidance, rules and regulations. Complete FINRA filing requirements of social media communications with the public in a compliant manner. Keep informed and aware of new developments in the social media regulatory arena and effectively communicate trends to business units. Ability to review complex materials and diplomatically communicate required edits, explain the regulatory basis for the changes and be creative in suggesting alternatives to any problematic language, and work with business units to produce strong, effective and compliant communications Assist with the processing of heavy work flow of advertising and sales literature of broker/dealer and investment adviser Interact efficiently with business project teams, investment professionals, counsel, and team members Ensure timely filing of marketing materials with FINRA Maintain internal marketing files to fulfill broker-dealer recordkeeping requirements, distribute materials as appropriate, and related close-out activity Proactively stay current with applicable securities laws, rules and regulations with respect to the regulation of financial product advertising and marketing Assist with compliance training regarding marketing policies and procedures, as well as examinations and audits by internal/external parties Contribute to the design, establishment, implementation and revision of compliance system and policies and procedures Perform special projects and other duties as assigned
Position Requirements:
BA/BS degree and a minimum of 5 years relevant work experience with mutual fund and advisory product marketing materials, broker-dealer regulation, compliance, audit or legal Excellent writing and editorial skills Proven ability to understand and communicate effectively about technical, complex compliance standards and policies. Knowledge of data analysis tools and techniques a plus Strong administrative and organizational skills in a deadline-driven environment Ability to work independently and also as part of a high-functioning, collaborative team of legal professionals, including the ability to form relationships at all levels of the organization Proficiency with Microsoft Office tools Strong ability to prioritize and handle multiple tasks, and to be detail oriented in a fast-paced, deadline driven environment Interest in, and comfortable with, emerging communications technology, both for working with colleagues and for assessing the use of marketing content in emerging communications channels, including social media Specialized regulatory compliance knowledge relevant to securities marketing â€" for example, familiarity with GIPS requirements, retirement plans or investment techniques is a plus
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If you were eligible to this job, please send us your resume, with salary requirements and a resume to Oppenheimer Funds.
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This job will be opened on: Tue, 24 Jul 2012 13:57:27 GMT
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