Director of Marketing Review Compliance
Responsibilities:
Serve as a subject matter expert within the firm, advising on laws, rules and regulations relating to marketing communications relevant to the firm s product offerings.
Work with the Marketing Department and other areas of the business to timely review, provide guidance and approve marketing materials, ensuring that materials are compliant with relevant laws, rules, and regulations.
Review a wide range of marketing materials, including but not limited to advertisements, brochures, presentations, social media posts, websites, and requests for proposals.
Maintain the firm s centralized marketing review processes, workflows, and disclosure libraries.
Perform compliance surveillance and monitoring for firm social media programs.
Contribute to the creation of internal manuals, policies, and procedures to ensure adherence to consistent and sound practices.
Maintain training materials and conduct as hoc training for applicable business groups on regulatory and firm standards for marketing communications.
Monitor for new laws, regulations and industry best practices relating to marketing standards.
Assist in responding to and preparing reports for regulatory agency requests and/or examinations.
Serve as a backup resource to other compliance functions across the firm.
Participate in other projects as required.
Qualifications:
Detailed knowledge of advertising and communication rules for SEC registered investment advisers, FINRA broker dealers, registered investment companies, private fund offerings, and GIPS Standards.
Experience with cross-border marketing communications Experience with fixed income strategiesDate Posted2024-04-17.
Estimated Salary: $20 to $28 per hour based on qualifications.
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