Vice President, Compliance Marketing Review

Vice President, Compliance Marketing Review

About the Company

Top-tier investment management firm

Industry
Financial Services

Type
Privately Held, Private Equity-backed

About the Role

The Company is in search of a Vice President for Compliance Marketing Review. The successful candidate will be a key player in the global marketing and business development initiatives, ensuring that a wide range of marketing materials, including client-facing content, reports, research papers, and social media, comply with regulatory requirements and internal standards. This role demands a high level of attention to detail and the ability to provide proactive, clear, and solution-oriented guidance to professionals in the business. The Vice President will also be responsible for maintaining industry and regulatory knowledge, assisting in the implementation of new policies, and providing training on compliance matters.

Applicants for the Vice President position in Compliance Marketing Review at the company should be highly motivated and detail-oriented, with a strong background in assessing marketing materials across various asset classes and investment strategies. The role requires expertise in global regulations such as SEC Rule 206(4)-1, FINRA Rule 2210, and non-US regulatory regimes, as well as the ability to review complex presentations for compliance. The ideal candidate will have a proactive approach to providing guidance on compliant advertising and performance reporting practices, and be adept at interpreting and communicating regulatory rules. Experience in maintaining industry and regulatory knowledge, monitoring rulemaking initiatives, and providing training on compliance is essential.

Travel Percent
Less than 10%

Functions

• Marketing