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May 21, 2024  
Job Summary: Wealth Management company located in Glastonbury, Connecticut looking to bring on board a Compliance Analyst to join their team. This individual will help mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements related to a registered investment advisor (RIA) firm. Possesses and applies broad knowledge of concepts and principles; performs complex assignments. Core Responsibilities: Advertising review Administer Compliance Reporting System. Assist in providing regulatory oversight, risk management, and policy implementation for all investment advisory programs. Identify process improvements and strategies for execution to assist management with achieving compliance objectives. Implement RIA department initiatives as directed. Assist in providing direction and guidance to firm personnel and field associates on investment advisory compliance issues, including fiduciary...
symmetry partners Hybrid (Glastonbury, CT, USA) Full time
May 21, 2024  
Asset Management Marketing Review Manager Location: Wilmington, DE Overview: Under direction, supervises the Marketing Review Group’s review and approval of all Wealth marketing and advertising materials to ensure compliance with applicable regulatory requirements and internal Wealth policies.  Engages with Asset Management, Product, Marketing, Risk, Legal and Compliance partners across the organization as a subject matter expert (SME) for pertinent Financial Industry Regulatory Authority (FINRA) and U.S. Securities and Exchange Commission (SEC) marketing and advertising rules.  Completes first line of defense risk management responsibilities related to the Wealth marketing review process in accordance with the Enterprise Risk Framework.     Primary Responsibilities: Manage a team that reviews and approves all Wealth marketing and advertising materials to maintain productivity and address identified issues.  Maintain workflow of the assigned...
Wilmington Trust Hybrid Full time
May 20, 2024  
Description About The Role: At Facet Wealth, we put the client above all else.  As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we are in compliance with all regulatory requirements.  We work in a fast paced environment and we’re trying to disrupt the industry so your work will be critical in supporting the solutions we need to find for our clients.  Responsibilities: You are responsible for supporting all our critical day to day compliance responsibilities including IAR registrations, communication reviews, OBA’s and more. You will partner with assigned business partners to directly support their day to day activity, business initiatives and compliance needs. This could include marketing programs, product development and...
Facet Remote Full time