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Associate / VP Compliance, Marketing

  • Job Number 528846
  • Type Permanent
  • Location Greenwich, CT
  • Pay ~$175,000 - $200,000
  • Referral Bonus $250

Associate / VP Compliance, Marketing

Job Description:

Global investment management firm is actively searching for an Associate or VP of Compliance for their Marketing Review team. The firm is located in lower Fairfield County, CT and manages money for institutional clients.

This position will primarily support the firm’s global distribution and marketing efforts and be responsible for reviewing advertising and marketing material (including social media) for the firm's investment adviser and broker-dealer, and monitoring marketing activities to promote compliance with internal policies, applicable rules and regulations.

The firm is currently operating on a Hybrid model but will consider out-of-area candidates who can visit the office twice per year.

Some responsibilities include but not limited to:

  • Review marketing material across an array of investment strategies to ensure compliance with applicable regulations (e.g., SEC, FINRA, non-US) and internal policies.
  • Provide guidance to the business on advertising and performance reporting best practices in support of collaborative marketing and sales efforts.
  • Work closely with Business Development and Marketing colleagues 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.

    Requirements:

    Candidate requirements include but not limited to:

  • 3-5 year’s minimum 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.