Associate, Compliance (Advertising & Marketing)

About Baron Capital

Baron Capital is a leading asset management firm founded in 1982. We believe that hiring, retaining, and nurturing talented individuals who share our passion for excellence, integrity, and innovation is the key to our success. This means creating a welcoming, inclusive, and inspiring environment for all, as well as providing the resources and support our employees need to succeed. We take pride in our exceptionally low turnover and consider it a testament to our culture of collaboration and open communication. If you are looking for a career where you are part of a dynamic team where you can truly make a difference, we invite you to consider joining us.

About the Role

Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules. Rules and principals-based reviews of advertisements and correspondence from FINRA and SEC perspective.  Respond to internal and external inquiries regarding regulatory requirements. 

Key Responsibilities

• Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials.
• Develops and maintains guidelines, manuals and processes for the review of advertising.
• Review and approve sales and advertising literature for registered products, SMA’s.
• Develop and implement effective methods and best practices for reviewing marketing communications.
• Collaborate with the Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
• Effectively track advertising and sales literature using applicable methods and tools per industry/company record retention requirements.
• Participates in applicable projects to make significant structural changes to the advertising compliance review process.
• Assist in researching and responding to comments and/or inquiries received from FINRA.
• Remain current and anticipate changes in the regulatory environment and/or reputational risks to the firm that may affect the firm’s review standards and marketing communications.
• Serve as primary contact for advertising compliance issues with the Firm’s FINRA analyst.
• Assist with special projects, as requested.

Qualifications

Education & Experience:

• Bachelor’s Degree required.
• FINRA 7 and 24 licenses required.
• 4+ experience in asset management industry and understanding of securities laws.
• 2+ experience in the review of marketing material preferred

Knowledge:

• Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations.
• Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry.
• Fundamental investment concepts, practices and procedures used in the securities     industry. 
• Knowledge of financial markets and products. 
• Familiarity with Red Oak Advertising Review and Recordkeeping System or a similar vendor preferred.

Skills and Abilities:

• Ability to handle multiple responsibilities across multiple entities and work independently.
• Ability to interact professionally and effectively with internal and external contacts using tact, discretion and good judgment.
• Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
• Excellent analytical and research skills.
• Ability to work in team-oriented environment.
• Excellent written and verbal communication skills.
• Ability to prioritize and organize workload, multi-task and adapt quickly to change, and deliver under the pressure of deadlines.
• Ability to provide and receive constructive criticism and manage expectations.