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Its a niche type role around marketing and advertising materials. 5+ years' experience. The candidate needs to be familiar with all the regulatory review rules and should hit the ground running with 1 week of training. The candidate will need to start reviewing all our marketing materials from a compliance standpoint for most of our businesses immediately or within a weeks time. Contract to Hire
Will provide core review function for the Compliance Communication Review Group ensuring that investment adviser/BD communications satisfy regulatory and corporate requirements; support marketing efforts; foster and promote a culture of compliance; and provide guidance to marketing relating to advertising rules and regulations for Ameriprise.
- Review investment adviser and broker dealer communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies.
- Establish and maintain relationships with business partners and foster/promote a culture of compliance, and provide guidance to marketing relating to applicable rules and regulations.
- Continuously assess compliance risks and effectively communicate risks and suggestions for improvement to department leaders and business unit leaders, as applicable.
- Stay up to date on regulatory and industry changes.
- Work collaboratively with multiple business partners to gain a thorough understanding of our asset management products and business.
- Attend meetings and hold ad hoc discussions with marketing and other areas to understand new initiatives, offer compliance guidance, and determine the potential impact to communications and marketing materials
- Contribute to the development/improvement, maintenance and implementation of business unit procedures and employee training materials, designed to help ensure that materials produced are compliant.
- Work on special projects, and performs other duties as assigned.
Fulcrum Consulting, an LRS company, is an equal opportunity employer. Applicants for employment will receive consideration without unlawful discrimination based on race, color, religion, creed, national origin, sex, age, disability, marital status, gender identity, domestic partner status, sexual orientation, genetic information, citizenship status or protected veteran status.