Job description
Position Description
Loomis Sayles is a performance-driven active asset management company that seeks to identify exceptional investment opportunities on behalf of institutional and retail clients worldwide. We believe active management fueled by proprietary, best-in-class research helps us achieve financial success for our clients. Founded in 1926, Loomis Sayles currently oversees approximately $300 billion in assets under management for global clients spanning more than 50 countries.
We foster a culture of entrepreneurialism, where all employees are empowered and encouraged to develop themselves and their ideas. Our culture centers on our shared IDEALS, the core characteristics of who we aspire to be as employees and an organization.
INCLUSIVE & DIVERSE - DEDICATED TO TEAMWORK – EXCELLENT – ACCOUNTABLE – LEADERS - SOLUTION-ORIENTED
Loomis Sayles is committed to the continual improvement of our performance, processes and people. As part of this commitment, we are looking to hire an enthusiastic and passionate candidate, eager to contribute to our continued success through the following employment opportunity:
About the Role
This role in our legal department will be responsible for the review of a variety of advertising and marketing materials and communications including one-on-one presentations, RFP/RFIs, fact sheets, commentaries and social media as well as certain client materials. In addition to experience working in a legal or compliance environment, the candidate should be knowledgeable about SEC, FINRA, GIPS and other pertinent rules and regulations which govern the marketing of financial products and services for institutional and retail clients. The Candidate should have strong interpersonal skills in order to work well within the team and with internal clients.
About the Team
The Legal Review Team consists of 3 Senior Analysts and a manager whose primary responsibility is the review of all marketing materials created by Loomis Sayles. The team is part of the Loomis Sayles Legal and Compliance Department. The department has a total staff of 49 including a General Counsel, a Senior Counsel, four Assistant General Counsels, two Associate Counsels, a Chief Compliance Officer, Deputy Chief Compliance Officer and 40 Compliance and Paralegal Professionals. The team is primarily located in Boston.
Job Responsibilities
Review of Marketing Presentations and Related Materials
- Comprehensive annual review of standardized materials to ensure compliance with firm policy, legal and industry regulations
- Review and analyze new content and complex themes for inclusion in one-on-one presentations and other marketing and advertising materials.
- Ensure that content of such material complies with and is consistent with firm policy and legal requirements and includes required disclosures, footnotes and legends
- Provide annual and as-needed training to marketing groups on basic procedures, regulatory and compliance issues
- Offer guidance to marketing groups and investment teams for new product material development; assess risks and concerns and communicate them as appropriate
- Collaborate with marketing groups on the development and refinement of policies and procedures
Requests for Proposal (“RFP”)/Requests for Information (“RFI”)
- Review customized RFP/RFI responses submitted for approval; edit content as necessary
- Prepare quarterly memo to include legal and compliance and other firm updates for posting to our internal database
- Review expired and updated subject matter as appropriate
- Meet regularly with RFI/RFP writers to review changes to legal and regulatory content and to the review process
- Determine process and conduct audit of RFP materials not submitted for legal review
Additional Responsibilities
- Liaise with technology to develop and maintain updates and introduce enhancements to our electronic review system
- Review of fact sheets, press releases, website and outside conference materials
- Review and audit of website, apps and social media
- Review of monthly and quarterly market commentaries for use on the website, in annual reports, in client mailings and other distribution
- Coordinate comments on mutual funds with Compliance at Natixis Distribution LLC, the Distributor of our mutual funds (and parent company)
- Provide guidance and review of various internal materials, i.e., training presentations, talking points, Q&A's
Qualifications
Qualifications & Education Requirements
- Bachelors degree; FINRA Series 7 & 24 registrations preferred
- Prior sales and marketing review experience preferred
- Knowledge and understanding in the following areas is required:
- Rules and regulations for advertising and marketing investment services and products
- Standards for marketing and advertising advisory services based on the Investment Advisers Act, no-action letters, and other legal authority and rules
- GIPS rules for one-on-one presentations and advertising/marketing materials
- Institutional and investment vehicles including separate accounts, mutual funds, private placements, and alternative investments
- 3 - 5+ years’ experience in legal and/or compliance department of an investment company or in a law firm
- Excellent organizational and time management skills
- Experience in working under pressure, managing multiple conflicting priorities and meeting deadlines in a fast-paced environment
- A team player with the flexibility to go beyond the expected in order to meet client needs
- Excellent oral and written communications skills, with an emphasis on judgment and discretion
- Ability to develop strong working relationships and collaborate with marketing groups and product teams, providing support and training through conversation and frequent meetings
- Competence in interacting with and influencing business associates at all levels
- Ability to review materials critically while not being critical of the author
Loomis Sayles Benefit Overview
EEOC and Diversity Statement
Loomis Sayles is deeply committed to building a diverse and inclusive workforce in which talented individuals can realize their full potential and contribute to our growth and success. Please consider applying for this role even if your work history and skillset doesn’t completely match the job description. We believe creativity, tenacity and humility are as valuable as specific skills that can be practiced and perfected on the job.
We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, creed, color, gender, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.
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