Compliance Marketing Review (VP)

Stamford, CT 06902

Employment Type: Direct Hire Industry: Accounting/Finance Job Number: 2979

Job Description

High Profile Firms seeks VP of Compliance to join a small tight-knit team.

You will be responsible for Compliance Marketing Review, primarily supporting the firm’ s global distribution and marketing efforts while also handling reviewing advertising and marketing material (including social media) for the firm' s investment adviser and broker-dealer.

This is a full time direct hybrid onsite (~3 days per week) hire role with a premiere firm that offers a unique collaborative, thoughtful, engaged, corporate culture with a companywide emphasis on continuous learning.

In Summary, you will:

  • Review marketing material across an array of investment strategies to ensure compliance with applicable regulations (SEC, FINRA, non-US) and internal policies.
  • Provide guidance to the business on advertising and performance reporting best practices in support of  marketing and sales efforts
  • Work closely with Business Development and Marketing  to ensure compliance with the firm' s policies and procedures and to assist with efficient functioning reviews and workflows
  • Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant regulatory rulemaking initiatives
  • Provide training and informational tools to relevant staff on pertinent compliance policies and procedures and regulatory requirements
  • Assist with broker-dealer supervision of related marketing and sales activity (email review and other ad hoc tasks).
  • Effectively work and communicate across all levels of the organization
  • Develop in-depth knowledge of the firm' s investment products and capabilities


Job Requirements

  • Hands-on experience reviewing marketing material, preferably with an investment adviser or broker-dealer
  • Series 7 and 24 licenses required
  • Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the new SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules, regulations, and interpretive guidance
  • Exceptionally well organized, detail-oriented and strong communication skills
  • Ability to provide accurate, direct and practical advice in a timely fashion
  • Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment
  • Completed Bachelor' s degree

Additional Information

This is a full time direct hybrid on site (~3 days per week) 

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