Legal & Compliance Advertising & Marketing Compliance Officer

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Main Purpose of the Role

The Compliance Officer will be responsible for assisting the Legal and Compliance Team with various legal and regulatory matters relevant to AEW with particular attention to marketing and advertising compliance matters.

Responsibilities

  • Assist with the review of marketing and advertisement communications for compliance with applicable regulatory requirements.
  • Track and maintain a log of all marketing related approvals and provide reporting as needed;
  • Manage the process for monitoring AEW’s website for content updates;
  • Assist in the drafting of policies and procedures related to AEW’s marketing and advertising efforts.
  • Consult with investor relations team and business partners with respect to media campaigns and communications plans.
  • Assist in annual and on-going review of Compliance Program, policies and procedures to help identify areas of future oversight focus with an emphasis on marketing and advertising;
  • Maintain effective documentation and filing systems;
  • Interact with regulators, accounting firms, auditors and other consultants as needed;
  • Conduct special projects/analyses on an as-needed basis; and
  • Develop an understanding of regulatory marketing requirements applicable to Investment Advisors globally.

Skills/Experience Required

  • At least 2-4 years of relevant compliance experience at an investment advisor or investment fund complex or broker dealer;
  • Preference given to a candidate with prior experience with SEC and/or FINRA Marketing Compliance oversight;
  • General knowledge of Investment Advisor/Investment Company Act rules and regulations;
  • Strong communication and interpersonal skills;
  • Attention to detail;
  • Ability to communicate effectively with senior management;
  • Self-starter and highly organized individual able to work well in a deadline driven environment; and
  • Ability to work as part of a team.

AEW Capital Management is an affirmative action-equal opportunity employer.

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