Senior Compliance Officer, Marketing & Communications Compliance

The Position

Reporting to the Head of Regulatory Compliance, the Senior Compliance Officer of Marketing & Communications Compliance is responsible for oversight and support of the review and approvals for marketing materials and external communications under firm policies and applicable regulatory requirements. It is expected that this candidate will maintain the quality and consistency of marketing materials and advise on applicable compliance guidelines. This includes oversight for the Social Media and Electronic Communications programs.

A thought leader with deep broker-dealer and investment adviser marketing experience with a proven track record collaborating with a high-performing and fast-paced marketing department to advance the marketing capabilities and technologies that deliver through multiple marketing channels.

Responsibilities

• Engage with Marketing and business partners to review and approve marketing materials in accordance with compliance requirements, the firm's policies, and applicable regulatory regulations, including recommending and drafting updates/revisions as necessary
• Maintain the quality and consistency of marketing materials and advising on applicable compliance guidelines
• Work closely with Marketing and Legal, as well as financial professionals across the firm, to maintain the firm's standards for marketing efforts (e.g., emails, presentations, white papers, reports, conference/event collateral, bios, webinars, press releases, boilerplates, disclaimers, firm website, article reprints, etc.)
• Act as a subject matter expert regarding marketing compliance related firm policies and provide appropriate guidance and training to business partners
• Collaborate with Legal for projects needing escalation
• Develop and maintain compliance guidelines and remain current on developments to provide appropriate guidance and training to Marketing

Position Qualifications (Knowledge, Skills, Abilities)

• Bachelor’s degree in business administration, finance or related field
• Ideally 10-15 years relevant work experience in the financial services industry (investment advisory, mutual funds, broker-dealer)
• Understanding of SEC and FINRA laws, regulations, and guidance, particularly as it relates to the investment advisory marketing activities, social media, and mutual funds
• Understanding of GIPS compliance and disclosure requirements
• Strong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity and maturity
• Strong verbal and written communication skills, with an ability to present ideas and information clearly, logically, and succinctly
• A proactive, hands-on, and collaborative attitude is essential, with a readiness to take ownership of specific initiatives
• Attention to detail, excellent organizational skills, with the ability to project manage multiple priorities simultaneously

Characteristics & Attributes

• High level of integrity and professionalism
• Excellent judgment in assessing potential compliance matters, the application of industry developments to the business and knowing when to seek independent advice and when to act independently
• Driven by collective success
• Desire to constantly improve status quo