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Dallas, Texas, United States · On-site
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Dallas, Texas, United States · On-site
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Dallas, Texas, United States · Remote OK
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Dallas, Texas, United States · Remote OK
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Dallas, Texas, United States · On-site
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Dallas, Texas, United States · On-site
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Dallas, Texas, United States · On-site
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Dallas, Texas, United States · On-site
Requisition ID: 267118 Salary Range: - Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to, the successful candidate’s relevant knowledge, …
Skills: Securities Settlements, Regulatory Control, Possession And Control, Microsoft Excel, Broadridge BPS
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Review and approve client-facing marketing and communications materials to ensure compliance with SEC, FINRA, and internal standards. Coordinate the pipeline of materials and partner with Legal, Product, and Sales teams to mitigate compliance risks.
Requires a Bachelor's degree in Finance, Business, Law, or a related field. Candidates must have at least 2 years of experience in financial services compliance, asset management, or legal document review.
Role: Marketing Compliance Analyst (Global Asset Management)
Location: Dallas
We are looking for a Marketing Compliance Analyst to join our Client Lifecycle Management (CLM) team to support one of our clients, a global asset manager, with the review and approval of client-facing marketing and communications materials. This role sits within Compliance and is responsible for reviewing marketing collateral, sales materials, fund communications, and other externally distributed content to ensure compliance with applicable regulatory requirements and internal standards.
This is a great opportunity to join our fast-growing business within our CLM department working with some of the world’s leading financial institutions. The preferred candidate will have at least two years of marketing experience relative to financial services, supported by great attention to detail, organizational and communication skills, and an ability to work in high pressured environments and to tight deadlines. Candidates with equivalent paralegal and document review experience may also be considered. To learn more about our CLM department click here Client Lifecycle Management (deltacapita.com)
Responsibilities may include:
Control the pipeline of client-facing marketing materials and allocate the work throughout the team to ensure completion within prescribed timeframes.
Assess content for SEC, FINRA, state, and internal compliance requirements.
Address queries sent through the marketing distribution - or divert to relevant team members as needed.
Conduct thorough reviews of marketing materials to identify and mitigate potential compliance risks.
Partner with Legal, Compliance, Product, Relationship Management, and Sales teams.
Stay updated on changes in regulations and industry standards related to marketing compliance.
Bachelor’s Degree (Finance, Business, Law, or related field)
2+ years of experience in asset management, wealth management, investment advisory, broker-dealer compliance, marketing compliance, advertising review, regulatory review, legal document review, or financial services compliance.
Critical eye for detail to ensure material being distributed is appropriate for the audience and to the relevant jurisdiction.
Ability to think independently, to navigate guidelines as given and make clear decisions when advising the business on how to ensure materials are compliant.
Strong problem-solving skills and effective communication skills.
How We Work: Delta Capita is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. If you require any reasonable adjustments through your interview process, please use the designated space within the application questionnaire.
Expectations regarding hybrid working: As we are a Service Provider and Consulting firm servicing clients, our policy for physically working from the office (which may be the client’s offices or our own offices depending on the client) aligns to what our client’s policies and expectations are and these vary. Most of our client’s now require a minimum of 3 days per week in the office, 2 days from home, and accordingly this is also the minimum expectation that Delta Capita require. We require candidates to be flexible to meet our client demands and that may require up to 5 days in the office. For this initial project, our client requires 5 days in the office.
Who We Are: Delta Capita Group (a member of the Prytek Group) is a global managed services, consulting and solutions provider with a unique combination of experience in Financial Services and technology innovation capability. Our mission is to reinvent the financial services value chain providing technology based mutualized services for financial institutions for non-differentiating services.
Our 3 offerings are:
• Managed Services
• Consulting
• Technology
To know more about Delta Capita and our culture click here: https://deltacapita.com/working-at-dc/
A global capital markets consulting, managed services and technology provider.
Delta Capita is a leading global Capital Markets consulting, managed services, and technology provider with a unique combination of experience in financial services and capability in technology innovation. Headquartered in the UK, Delta Capita has professionals across its offices in London, Germany, India, Ireland, Singapore, and the USA. Delta Capita specialises in the creation of multi-client managed services with technology, people, and infrastructure.
Offices: 40 Bank Street, Canary Wharf, London, E14 5NR, GB · Herikerbergweg, 181, Amsterdam, Noord-Holland 1101, NL · 7 Straits View, Marina One East Tower, #05-01, Singapore, Singapore 018936, SG · 1 Connaught Road, 28th Floor, AIA central, Hong Kong , HK · 101 Avenue of the Americas, New York, New York, 10013, US
There are currently 553 open legal positions in Dallas, TX listed on Clera. New openings are added daily as companies post roles.
Companies currently hiring include Dallas County, University of Texas Southwestern Medical Center, Goldman Sachs, Morgan Stanley, Scotiabank, among others. Browse the listings above to see every active employer.
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