Senior Compliance Associate – Marketing & General Asset Management Compliance (LAM)

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Asset Management Support
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210901 Requisition #

Lazard Asset Management is searching for a compliance professional with experience in advertising/marketing regulation and a willingness to assist with other aspects of the firm’s compliance program.  This position will be responsible for daily compliance reviews of marketing material relating to the firm’s institutional, retail and alternative investment services. This individual also will have hands-on responsibility to assist other aspects of the firm’s compliance program, including Code of Ethics compliance, personal trading, employee training efforts, conflicts of interest, information barrier compliance and the annual Rule 206(4)-7 reviews. This professional will work closely with personnel throughout Lazard’s business, and with other Legal & Compliance Department members.    

 

Specific Responsibilities: 

 

  • Review and approve investment adviser and broker dealer communications and marketing materials for compliance with applicable regulatory requirements and internal compliance policies.  As a registered principal, review and submit Retail Communications and similar retail advertising materials to FINRA. 
  • Assist during internal compliance reviews and regulatory examinations with a focus on the production of requested documents and working to implement any enhancements recommended as a part of the audit.
  • Assist with aspects of the firm’s Code of Ethics including the management of conflicts associated with political contributions, gifts and entertainment, outside business activities and personal trading.
  • Perform surveillance and testing activities in areas that support the 206(4)-7 risk assessment and annual review process, including drafting reports and compiling data related to these areas.

 

  • Keep current on regulatory changes and business changes impacting the compliance program and provide training with respect to marketing relating rules and regulations.
  • Establish collaborative relationships with business partners, in order to best promote a culture of compliance.
  • Work closely with other members of the Legal & Compliance Team to work through information barrier and restricted list issues regarding the receipt of sensitive information received from sources both internal and external to the firm. 

Qualifications: 

  • College degree (required).
  • FINRA Series 7 and 24 (required).  LAM Securities will sponsor a qualified candidate’s registration for both Series if needed; preference is for candidate to have both Series at the time of hire.
  • Three or more years of marketing review experience at a large adviser or alternative adviser that offers some retail products as well as institutional services.  An understanding of the asset management business and its product development practices is a plus.
  • Experience submitting filings to and working with FINRA’s Advertising Regulation Department.
  • General knowledge of regulatory requirements applicable to US investment advisers and broker-dealers, including the Investment Advisers Act and FINRA Rules.
  • Excellent verbal and written communication skills.
  • High motivation to take on compliance responsibilities across an asset management compliance program, with an ability to independently prioritize work to meet multiple tight deadlines while paying attention to detail in a fast-paced environment.
  • Ability to collaborate and effectively communicate across different levels of a large, global organization.  Ability to maintain productive working relationships with business colleagues in the Legal & Compliance Department, marketing and operations. Willingness to be accessible outside of business hours on occasion to consult on time sensitive marketing issues.
  • Must have strong communication and Microsoft Office skills.

 

Diversity and Inclusion at Lazard

Lazard is an intellectual capital business focused on delivering the best advice and solutions to clients. Achieving these objectives requires us to identify, develop and retain the best talent. A workforce comprised of people with varied backgrounds and experiences creates a rich diversity of thought that empowers us to challenge conventional wisdom, as diverse perspectives lead to better decisions.

 

Our appreciation of diversity’s strength is ingrained in our multi-cultural heritage. As a global firm that has grown organically from local roots in different countries, we have a deep tradition of respect for individual differences, which has been core to our success for several decades.

 

The ongoing cultivation of diversity and an inclusive, equitable culture are essential to our continued growth. We are committed to sustaining an environment in which all employees – regardless of socioeconomic status, race, color, nationality, religion, gender, sexual orientation, physical abilities, veteran or military status – can bring their whole selves to work to maximize their individual potential and our collective success.

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📁 Asset Management Support