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
|
Click
here to apply!
|
Didn't find what you're looking for? Search again!
Other Advertising JobsField Marketing Officer- Brazil Description: Data-driven, digitally fluent, our Marketing team is Talkwalker's brand awareness and lead generation machine.--With team members across the world, we're the global voice of Talkwalker, keeping us ahead (more...) Company: Talkwalker Inc Location: New York Posted on: 02/27/2021 SVP Corporate Communications & Public Relations Description: COMPANY is a global medical technology company that is advancing the world of health by improving medical discovery, diagnostics and the delivery of care. COMPANY leads in patient and healthcare worker (more...) Company: ExecuNet Location: Franklin Lakes Posted on: 02/27/2021 COO (Operations and Finance - VC backed Media Startup) Description: View all jobs COO Operations and Finance - VC backed Media Startup New York City, New York This is a full-time remote position-- br Job Summary: Our client. is seeking a Chief Operating Officer (more...) Company: Golden Gate Search Group Location: New York Posted on: 02/27/2021 Senior Beauty Editor, The Zoe Report Description: The Zoe Report is looking for a Senior Beauty Editor to lead the beauty content across the site. Working closely with the Editorial Director, the Editor will be creative, strategic, and agile in shaping (more...) Company: The Outline Location: New York Posted on: 02/27/2021 Marketing Analyst, SEO Description: Vimeo's mission is to help every business and video professional grow their brand with video. Through our ever expanding suite of tools that allows everyone to create, manage, share, and sell video we (more...) Company: InterActiveCorp Location: New York Posted on: 02/27/2021 Lead Marketing Designer Description: Nulab is a team of fun-spirited innovators dedicated to creating collaboration software for modern teams. Our products are loved by over 4 million users across 190 countries. With headquarters in Fukuoka, (more...) Company: Nulab Location: New York Posted on: 02/27/2021 Associate Director, Product Marketing Description: WebMD is the most recognized and trusted brand of health information and the leading provider of health information services, serving consumers, physicians, healthcare professionals, employers and health (more...) Company: WebMD LLC Location: New York Posted on: 02/27/2021 Advertising Assistant Description: RESPONSIBILITIES:Kforce's client, a global luxury retailor, is seeking an Advertising Assistant to support one of their growing product lines. The role will be partial remote and sits in the midtown Company: Kforce Finance and Accounting Location: New York Posted on: 02/27/2021 VP Media Relations Consumer Description: We Are Seeking: We are seeking a strong Vice President to join our Media Relations team within our Consumer Practice - working on large tech client recent global win. You love the thrill of the pitch, (more...) Company: ExecuNet Location: New York Posted on: 02/27/2021 Director of Brand Marketing Description: We're Brigit, a financial health app for the everyday American. By using cash flow data to automate finances, not only do we help people today, but also empower them to start saving for tomorrow and (more...) Company: Lever Location: New York Posted on: 02/27/2021 |
