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Director of Marketing Compliance

Company: Robert Walters
Location: New York
Posted on: February 25, 2021

Job Description:

We are currently partnered with an $50b thematic investment manager, seeking a Director of Marketing compliance to join their team in NYC. Key Responsibilities:* Conduct compliance review of all Marketing Materials for compliance with the federal securities laws, including the provision of testing, monitoring, training and other ancillary actions related to The Company's Marketing Materials;* Evaluate and mitigate compliance, legal and regulatory risk in connection with new and existing Marketing Materials;* Review and approve any Marketing Materials for private fund clients; * Review and draft marketing compliance reports and escalate any issues to the CMO or CCO; * Assist with The Company's regulatory exams, mock exams, regulatory/exchange inquiries and due diligence reviews;* Address questions and issues related to marketing materials and compliance as needed; * Interact with fund distributor on issues related to investment company marketing materials; * Draft and prepare marketing compliance materials for Board meetings;* Coordinate printing and website posting of ETF prospectuses and SAI and any updates;* Interpret and analyze the impact of change to relevant laws, regulations, and market infrastructure as it relates to marketing compliance risk; * Assist with oversight of DDQs/RFPs and other due diligence requests as needed; * Assist with maintenance and updating of sections of electronic due diligence databases; and* Provide strong compliance support and execution with respect to all ad-hoc projects assigned by CCO.Skills and Qualifications: * 6-8+ years' experience in a marketing compliance role at a financial services firm with substantial knowledge of the marketing/advertising rules under the Investment Advisers Act of 1940, the Investment Company of 1940, FINRA rules, and the day-to-day compliance affairs of public and private funds* an undergraduate degree (required), and SEC/FINRA experience (preferred)* a demonstrated ability to write effectively* strong technical skills, sharp intellect, and ability to understand difficult, complex compliance and business problems * the ability to work with colleagues to devise pragmatic and creative solutions* the ability to prioritize and focus on critical tasks that add value * excellent organizational skills and follow-through * highly effective oral and written communication skills* the natural ability to develop relationships, internally and externally Due to the high volume of applications we receive, we are unable torespond to every submission.

Keywords: Robert Walters, New York , Director of Marketing Compliance, Advertising , New York, New York

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