Robert Walters
Overview
Our client is seeking a Vice President for Compliance Marketing Review to join their team. You will be immersed in a culture that values academic excellence, intellectual honesty, and open collaboration, working alongside knowledgeable professionals who are committed to transparency and continuous learning. The position offers significant exposure to a wide array of investment strategies and product vehicles, as well as the chance to interact with senior stakeholders across the business.
Key Responsibilities
- Conduct thorough and timely reviews of diverse marketing materials such as client reports, research papers, webisodes, social media content, and other client-facing documents to ensure compliance with global regulations and internal policies.
- Assess materials spanning multiple asset classes and investment strategies for adherence to applicable regulatory frameworks, including SEC Rule 206(4)-1, FINRA Rule 2210, and relevant non-US regimes.
- Apply your expertise in evaluating complex presentations involving hypothetical or back-tested performance data for regulatory compliance.
- Provide clear, proactive, and solution-oriented guidance to business development and investment professionals on compliant advertising practices and accurate performance reporting.
- Interpret evolving regulatory rules and developments, translating them into actionable compliance advice for various teams within the organization.
- Maintain up-to-date industry knowledge by monitoring rulemaking initiatives, risk alerts, and other regulatory matters relevant to marketing compliance.
- Assist in implementing new policies and procedures while also updating existing ones to reflect current best practices and regulatory changes.
- Deliver training sessions and create informational tools for staff on compliance policies, procedures, and regulatory requirements.
- Collaborate closely with colleagues across departments to foster a culture of compliance awareness throughout the organization.
- Support the team by occasionally working outside regular business hours as needed, including monitoring communications during evenings or weekends.
Key Requirements
- Bachelor's degree required with a minimum of 6-8 years' experience reviewing marketing material within an investment adviser or broker-dealer setting.
- Possession of Series 7 and 24 licenses is mandatory for this role due to its regulatory focus.
- Comprehensive understanding of SEC Rule 206(4)-1 under the Investment Advisers Act, SEC Marketing Rule, FINRA Rule 2210, as well as familiarity with non-US regulatory frameworks.
- Exceptional organizational skills paired with strong written and verbal communication abilities enable you to convey complex information.
- Demonstrated responsiveness in providing accurate advice promptly while managing multiple projects efficiently under tight deadlines.
- Proactive approach to time management combined with the capacity to work independently when necessary without sacrificing teamwork or collaboration.
- Experience delivering training or creating educational resources related to compliance topics is highly desirable.
- Ability to interpret new regulations quickly and translate them into actionable guidance for diverse audiences within the firm.
- A commitment to maintaining up-to-date industry knowledge through ongoing professional development activities.
- Willingness to work flexibly outside standard business hours when required by project demands or urgent compliance matters.
What sets this company apart
- This organization stands out as a leader in global investment management thanks to its unwavering commitment to academic rigor, intellectual honesty, and transparent collaboration.