Vice President, Marketing Compliance
About the Company
Accomplished asset management firm
Industry
Financial Services
Type
Privately Held, Private Equity-backed
About the Role
The Company is in search of a VP of Compliance for Marketing to join their team. The successful candidate will be responsible for the oversight of marketing materials and communications related to various products, ensuring they meet legal, regulatory, and compliance standards. This role involves reviewing a wide range of materials, including due diligence responses and investor communications, and supervising and training staff in marketing compliance reviews. The VP will also manage the legal and compliance relationship with multiple business lines and products, attend client meetings to address legal and compliance questions, and serve as the primary counsel for the business in this area.
Applicants must have a minimum of 8 years' of experience, with a background in a law firm and/or investment management firm. A J.D. is required, and a strong understanding of the Advisers Act and FINRA regulations is preferred. Knowledge of hedge funds and drawdown funds is a plus. The role also involves the development of internal policies and procedures, as well as educational materials and training on marketing and fundraising regulations. The ideal candidate will be proactive in assessing regulatory risk and be prepared to assist with other legal and compliance matters as needed.
Travel Percent
Less than 10%
Functions
- Legal
- Marketing