Top-Tier Asset Manager in Midtown, Manhattan is seeking a Director of Compliance for a full-time position! This position will be primarily focused on Marketing Review.
Responsibilities:
Responsible for review of institutional and retail marketing materials
Reviewing, monitoring and implementing the compliance programs of registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products.
Analyze marketing and distribution rules and regulations, including regulatory developments, to assess commerciality of messaging that will meet regulatory scrutiny
Communicate compliance requirements in a clear and confident manner to all levels of the Firm
Review, approve and provide advice on institutional and retail marketing materials across a range of strategies and products, including US registered and private funds, SMAs and SICAVs
Review requests for proposal, due diligence questionnaires and other client communications and queries for additional information.
Qualifications:
Series 7 and 24 FINRA registrations are required
Bachelor’s degree
9+ years of experience implementing compliance programs for an SEC Registered Investment Advisor and/or Broker Dealer
5+years of experience performing marketing compliance reviews, preferably including 3 years of experience applying SEC Rule 206(4)-1
Experience with AdMaster and Global Relay a plus
Strong interpersonal skills with the ability to build relationships within and outside the company
Superior organizational skills; careful and thorough, with particular attention to detail
Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
