Legal Analyst- Compliance- 70-80K plus generous bonus!

Summary 

Prestigious investment firm in downtown Boston has an opening for a Legal Analyst to take ownership of reviewing marketing and advertising materials, RFPs/RFIs, presentations, and social media, to ensure compliance with firm policies and industry regulations.  

Responsibilities for the Legal Analyst 

  • Annual review of standardized company marketing materials
  • Continuous evaluation and analysis of new content in presentations
  • Certify that all marketing/advertising materials comply with firm policy and legal requirements
  • Ensure that all marketing/advertising materials include required legends, disclosure, and footnotes
  • Communicate compliance risks/concerns to appropriate marketing groups
  • Oversee the compliance arm of RFP/RFI process and review responses
  • Audit website, social media, and Apps
  • Assess compliance suitability of all market commentaries in distributed reports/mailings

Requirements for the Legal Analyst 

  • Bachelor’s degree
  • FINRA Series 7 & 24 registrations preferred
  • Minimum 2 years’ legal/compliance experience in investment company or law firm
  • Knowledge of SEC, FINRA, GIPS, and CFTC regulations pertinent to investment activities 

Compensation for the Legal Analyst 

  • Annual salary $70,000-80,000

Reference code:  K14063A

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Please note that quoted salary ranges are not guarantees of what the final salary offers might be. Our clients base their offers on a range of variables including years of work and industry specific experience, salary history, education level, etc.

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