Responsibilities:

📍Assist with regulatory marketing filings, including Free Writing Prospectuses 📍Work closely with Marketing and Sales colleagues to ensure compliance with the Firm’s policies and procedures and to assist with efficient functioning of marketing materials delivery and workflows 📍Assist the Director of Compliance in facilitating the day-to-day operations of the Firm’s marketing compliance program, including the Free Writing Prospectus process and assist in reviewing advertising and marketing materials (including social media) for the Firm’s Registered Investment Adviser and Broker-Dealer. 📍Assist in the monitoring of marketing activities to promote compliance with internal policies, applicable rules and regulations. 📍Assist the Compliance team on special projects, as applicable 📍Effectively work and communicate across all levels of the organization 📍Develop in-depth knowledge of the Firm’s investment products and capabilities 📍Stay current on developments in the digital currency ecosystem

Prior Experience/Requirements:

📍Bachelor's degree with strong academic achievement 📍1-3 years of compliance experience at an investment adviser, broker-dealer, or related firm 📍Interest in learning the regulatory obligations under Rule 206(4)-1 of the Investment Advisers Act, SEC Marketing Rule, and FINRA Rule 2210, and any other applicable rules, regulations, SEC no-action letters, and interpretive guidance 📍Ability to provide accurate, direct and practical advice in a timely fashion 📍Detail oriented with the ability to assess and prioritize projects 📍Ability to work effectively on a team 📍Must be collaborative, flexible and adaptable, reliable with a strong ‘can do attitude’ 📍Ability to operate in a fast-paced environment 📍Strong interest in digital assets, blockchain technology, and related concepts 📍Series 7 required, or ability to obtain within 6 months of hire