Job Description

Korn Ferry is partnered with a leading global investment management firm in Los Angeles in their search for a Marketing Compliance Officer.

POSITION OVERVIEW

The Marketing Compliance Officer reviews and approves marketing and external communications, ensures regulatory compliance, manages requests from internal teams, maintains audit logs, and supports departmental activities as needed.

RESPONSIBILITIES

• Evaluate and approve marketing content, including RFPs, websites, and social media posts
• Review and approve external communications, such as DDQs and client presentations
• Ensure all materials meet applicable regulatory standards
• Manage and coordinate requests from internal teams
• Maintain and update audit logs of reviewed materials
• Support additional departmental tasks as needed

QUALIFICATIONS

• Bachelor’s degree in business administration, finance or related field
• 1+ years of experience in investment or investment management firm
• Knowledge of relevant regulatory standards, including SEC Marketing Rule, FINRA Rules, and GIPS® standards (if applicable)
• Proficient in Excel, Word, and data analysis

SE: 510751512

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