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Compliance Associate, Marketing Review- Top Investment Firm
Responsibilities: Review marketing materials (primary responsibility) Liaise between marketing compliance associates in each business group to manage Firm Strategic Partnership relationships  Conduct email review Manage logistics for organizing compliance training and work with CCO to develop content Conduct training for Firm new hires on a regular basis Assist with annual broker-dealer compliance reviews (i.e., annual firm testing and branch testing) Assist in preparing annual FINRA risk control assessment Work on Private Wealth Management initiatives Assist in the drafting of compliance policies and procedures Take on additional assignments as needed Qualifications:


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