Compliance & Marketing Analyst (Asset Management)

Description

Role: Compliance & Marketing Analyst (Global Asset Management)

Location: Dallas

We are looking for a Compliance & Marketing Analyst to join our Client Lifecycle Management (CLM) team initially to support one of our clients (Global Asset Manager) on a particular project. As part of the day-to-day role within the client’s Compliance team, the primary function is to take on the volumes of marketing materials submitted by various product management, client relationship, and sales teams. As these materials are submitted for content and jurisdictional reviews, the team must ensure materials that the client is distributing externally are compliant with the various regulating bodies within the US region.

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 marketing materials and allocate the work throughout the team to ensure completion within prescribed timeframes.

• 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.

• Stay updated on changes in regulations and industry standards related to marketing compliance.

Requirements

Essential Skills & Experience:

• Bachelor’s Degree

• Early career candidate (Finance, Business, Law, or related field) with 2+ years of relevant experience.

• Demonstrated understanding of asset management and financial regulations.

• 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…