Compliance Marketing Review Analyst

US-PA-HARRISBURG | US-PA-Philadelphia
Job ID
2017-1324
# of Openings
1
Category
Analyst

Overview

PFM is a national leader in providing independent financial advice, investment advisory services, and management and consulting services to local, state, and regional governments, non-profit, and other institutional clients. We are proud to help our clients meet their financial challenges with a broad array of products backed by unquestioned professionalism and outstanding service. For more than 40 years, PFM has believed that the client’s interests always come first. Service is our top priority in everything we do, and it is delivered in every relationship following our core principles of Independence, Initiative, and Integrity.

 

JOB OVERVIEW

PFM’s Harrisburg office is seeking a Marketing Review Analyst for our Compliance group.  This role offers an excellent opportunity to learn the investment management industry to apply your financial services compliance knowledge alongside experienced and tenured colleagues, and can provide a challenging and fulfilling long-term career development path for the successful candidate.

 

The Compliance Marketing Review Analyst is an integral team member who takes ownership of assigned tasks, possesses strong prioritization and deadline management skills, and is able to manage multiple, time-sensitive tasks from various team members.

 

Responsibilities

KEY RESPONSIBILITIES

Primarily responsible for assisting senior personnel of the Compliance Department with the review of collateral used to market products and services of PFM’s  investment and municipal advisory business to ensure adherence with applicable corporate/regulatory rules and industry standards.

 

General

  • Conduct reviews of investment advisory and broker dealer marketing collateral including requests for proposals (RFPs).
  • In line with corporate and regulatory policies/procedures, appropriately escalate unusual or potentially suspicious issues, errors, improper conduct and other compliance exceptions identified during the course of reviews to senior Compliance personnel who will determine an appropriate course of action.
  • Acquire/apply knowledge of company strategies, products, marketing efforts and business activities.
  • Maintain professional and technical knowledge by attending educational workshops; reviewing professional publication and establishing personal networks.
  • Contribute to Compliance team efforts by accomplishing related results as needed.

Qualifications

QUALIFICATIONS

  • Bachelor’s degree desirable.
  • Five or more years of experience in a compliance, regulatory, audit or a similar control function. Work experience in a financial services marketing role may also be considered.
  • Knowledge of FINRA/SEC/MSRB rules is required and experience dealing directly with regulatory agencies is a plus.
  • Ability to interpret applicable company and regulatory policies and procedures and incorporate into the review process.
  • Self-starter who can work independently.
  • Productive team player.
  • Excellent written and spoken communication skills.
  • Experience with all Microsoft applications (particularly Excel, Word, PowerPoint & SharePoint).
  • Ability to work well under deadline pressure.

 

COMPENSATION

Total rewards include a competitive compensation package and a comprehensive benefits package.  PFM also offers participation in profit-sharing and 401K programs.

 

PFM is an equal opportunity employer (EOE) and maintains a drug-free work environment.

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