Our client is a leading global alternative asset management firm with a diversified set of strategies and a unique approach driven by collaboration, innovation, and inclusion. They are seeking a Director of Marketing Compliance to join their broker-dealer team in New York. This role offers the opportunity to work within an inclusive, supportive culture that encourages humility and transparency.
What you'll do:
As the Director of Marketing Compliance, you will play a crucial role in supporting the firm's global marketing program. You will be responsible for supervising the review of marketing materials for conformity to applicable rules and regulations. Your excellent attention to detail will be essential in reviewing responses to DDQs and RFPs for consistency across the firm. You will also assist in developing disclosures/disclaimers where needed and monitor compliance with investor side letters. Your ability to evaluate and improve compliance policies and procedures will be key in this role. Furthermore, your interpersonal skills will enable you to foster strong relationships across the firm by effectively coordinating with investment professionals. Lastly, you will prepare training materials for staff regarding global marketing and related issues.
• Support the firm’s global marketing program
• Supervise review of marketing materials for conformity to applicable rules
• Review responses to DDQs and RFPs for consistency across the firm
• Assist in developing disclosures/disclaimers where needed
• Monitor compliance with investor side letters
• Evaluate and improve compliance policies and procedures
• Foster strong relationships across the firm by effectively coordinating with investment professionals
• Prepare training materials for staff regarding global marketing and related issues
What you bring:
As the ideal candidate for the Director of Marketing Compliance position, you bring a wealth of experience in legal, compliance, middle/back office, or internal audit roles. You hold a Bachelor’s degree at minimum, though a JD is preferred. You either possess FINRA Series 7 and Series 24 licenses or are willing to obtain them within six months. Your working knowledge of advertising rules under the Investment Advisers Act would be advantageous in this role. Your strong writing/editing ability, as exhibited through firm-wide communications and the creation of policies, will be highly valued. Your ability to work under tight time pressures and your strong interpersonal skills will also contribute to your success in this role.
• Bachelor’s degree required; JD preferred
• 10 to 12 years of experience in legal, compliance, middle/back office, or internal audit
• FINRA Series 7 and Series 24 licenses or willingness to obtain within 6 months
• Working knowledge of advertising rules under the Investment Advisers Act is a plus
• Strong writing/editing ability as exhibited through firm-wide communications
• Ability to work under tight time pressures
• Strong interpersonal skills
What sets this company apart:
Our client is a leading global alternative asset management firm with a unique approach driven by collaboration, innovation, and inclusion. They are committed to creating an inclusive, supportive culture within the firm that encourages humility and transparency.
