Senior Compliance Specialist - Sales Material Review
Amundi US
Location: Boston, MA
The review and maintenance of sales materials ensuring that FINRA, SEC and other regulatory guidelines, including Global Investment Performance Standards (GIPS®), as well as the firm’s internal policies are being followed.
Key Responsibilities:
As assigned by Manager, responsible for:
The review of US mutual fund and non-US product sales materials; such as factsheets, profiles, presentations, commentaries, and web content.
The review of US and non-US Non-Product/Non-Strategy materials; such as white papers, biographies, and presentations.
The review of RFPs, RFIs and DDQs ensuring that FINRA, SEC and other regulatory guidelines, including GIPS, as well as the firm’s internal policies are being followed.
The review of institutional products and services materials – including separately managed account, collective investment trust, limited liability corporation, model portfolio delivery, and private placement materials.
Assisting with regulatory filings, tracking and recordkeeping of sales material in the ad review system (Red Oak Software).
Keeping abreast of changes in both internal and industry regulations, guidelines, policies and issues impacting Amundi US; and
Assuming additional responsibilities as requested.