Salt Lake City, UT19 days ago
Prior experience must include two (2) years of experience with a Master's degree or three (3) years of experience with a Bachelor's degree with the following: review marketing materials for compliance with FINRA Rule 2210 and the SEC Marketing Rule 206(4)-1; experience and familiarity with the Investment Advisers Act and Investment Company Act of 1940; advise internal stakeholders on regulatory exams and audits; provide regular postings to senior management through various means, including verbal and written presentations; deliver compliance trainings in a case study format to train the Asset Management business on regulatory and reputational risk considerations; manage multiple, complex projects simultaneously and ensure deadlines are met; working knowledge of excel, including basic formulas including Vlookup, Xlookup, pivot tables, and macros; working knowledge of Artificial Intelligence tools and use cases; knowledge of SEC Rule 206(4)-7; knowledge of the SEC Code of Ethics requirements under the Investment Company and Investment Advisers Act of 1940; and working knowledge of the financial services industry and related products, including Equities, Fixed Income, Stocks, Bonds, Options, Warrants, registered and unregistered or privately offered funds. Job Requirements: Master's degree (U.S. or foreign equivalent) in Finance, Economics, Management, Business Administration, Law or a related regulatory finance/business discipline and two (2) years of experience in the job offered or a related role OR Bachelor's degree (U.S. or foreign equivalent) in Finance, Economics, Management, Business Administration, Law or a related regulatory finance/business discipline and three (3) years of experience in the job offered or a related role.