VP/Principal, Marketing Compliance

Location: Essex County NJ, NYC, OR Fairfield County CT (Hybrid)

Compensation: $150k-$215k base + bonus

Role

- review materials (sales material, RFPs, DDQs, etc.) and implement processes related to marketing and distribution activity for a global organization

- review corporate and social media materials, posts and activity

- work closely with US and international sales teams to provide compliance guidance and implement policies and procedures

- develop informational tools and training materials related to compliance policies and regulatory requirements

Skills

- ability to prioritize workload and adhere to time sensitive deadlines

- excellent project management and organizational skills

- strong knowledge of SEC and FINRA marketing and advertising rules and best practices

Requirements:

1. Minimum of 10 years of industry experience, including compliance experience relating to applicable rules and regulations, and review of private and registered fund marketing material.
2. FINRA Series 7 and 24 required.
3. Candidate ideally functioning currently as a compliance officer and be accustomed to working independently.
4. Candidate must be able to work well in a team structure involving both business and support functions.
5. Experience dealing with regulatory changes and policy implementations relating to such changes.
6. Demonstrated analytical ability, strong written and oral communication skills.
7. Excellent interpersonal skills; ability to interact with all levels of staff including senior management