Overview
A leading global investment management firm is currently seeking a Vice President (Compliance Marketing Review) to join its Greenwich, CT team.
The firm is looking to appoint a highly motivated and detail-oriented professional to join its Compliance Marketing Review team at the Vice President level, depending on prior experience and other qualifications. The ideal candidate will play a key role in supporting the firm’s global marketing and business development initiatives by reviewing and advising on a broad range of marketing materials to ensure compliance with regulatory requirements and internal standards. This role offers exposure to various investment strategies, product vehicles, and senior stakeholders across the firm.
Key Responsibilities
- Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes, and social media content.
- Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm policies.
- Apply expertise in the review of complex presentations, including hypothetical and back-tested performance, reviewing for regulatory compliance.
- Provide proactive, clear, and solution-oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices.
- Interpret and communicate about relevant regulatory rules and developments, translating them into actionable compliance and business guidance.
- Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant rulemaking initiatives, risk alerts and other regulatory matters.
- Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures.
- Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.
Skills, Knowledge & Experience
- Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes, and social media content.
- Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm policies.
- Apply expertise in the review of complex presentations, including hypothetical and back-tested performance, reviewing for regulatory compliance.
- Provide proactive, clear, and solution-oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices.
- Interpret and communicate about relevant regulatory rules and developments, translating them into actionable compliance and business guidance.
- Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant rulemaking initiatives, risk alerts and other regulatory matters.
- Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures.
- Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.
