Christopher Harlan Email & Phone Number

Denver, Colorado, Us

Washington, District Of Columbia, Us

Denver, Colorado, Us

Denver, Colorado, Us

Responsible for principal review of marketing communications as member of an internal Compliance team, providing guidance on content promoting advisory services and products including mutual funds, ETFs, separately managed accounts, CITs, and private funds. Advise internal marketing, sales, institutional, and IT departments on proper application of regulatory and firm standards.

Parsed investment company regulations, industry best practices, and risk factors to review communications for external mutual fund, ETF, closed‐end fund and private placement clients. Guidance was tailored to each partner based on relationship and level of regulatory knowledge. Maintained and enhanced relationships with third party clients and regulatory staff.* Trained and partnered with junior analysts to perform joint review of certain marketing materials* Absorbed and communicated new regulatory guidance to internal and external audiences* Coordinated FINRA review of retail communications and mediated unique concerns of the regulator and client firms asappropriate* Researched financial intermediaries as member of due diligence committee to inform clients of potential business risks* Performed examinations of client firms’ branches and sales activities* Created management reports, conducted quality assurance of technology improvements, and crafted suggestions forfuture updates of department resources as technology liaison between Compliance and IT

St. Petersburg, Florida, Us

St. Petersburg, Florida, Us