Top-Tier Investment Management Firm in Midtown, Manhattan is seeking a Director of Compliance, with a focus 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.
- Review requests for proposal, due diligence questionnaires and other client communications
- Analyze marketing and distribution rules and regulations, including regulatory developments, to assess the commercial impact on the businesses covered
- 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
- Conduct reviews, testing and monitoring of compliance policies and procedures
- Implement revisions to policies and procedures in response to testing results or changes in regulatory or company landscape and conduct training as necessary
Qualifications:
- Series 7 and 24 FINRA registrations
- Bachelor’s degree
- 7+ 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 (or equivalent systems) a plus
- Excellent communication skills (effective in oral, written and presentation settings)
- 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