My client is a $22 billion dollar asset management company looking to bring on board a "SVP, Advertising Compliance Review” to join their team. They are in the office 1-day per week.
Responsibilities:
Review marketing materials across the firm’s 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 marketing and sales efforts
Facilitate the review of the firm’s marketing materials (including social media) and select third-party collateral.
Provide clear, succinct instructions and rationale when requesting changes to material.
Review of materials for external distribution to existing RIA clients
Researching, recommending, and participating in projects to help enhance the firm’s compliance programs and processes.
Conduct training for relevant staff on certain compliance policies and procedures
