Advertising Compliance Manager recruitment
Altegris is a pre-eminent provider of alternative investments. Our mission is to find the best alternative investment managers and bring them to our clients through alternative mutual funds, private funds, and futures managed accounts. Our suite of products is sold through the intermediary channel, including wirehouses, independent broker/dealers and registered investment advisors. We also have a robust Private Client Group that works directly with high net worth individuals and family offices. The Altegris companies represent approximately $3.36 billion in client assets, and provide futures clearing services to accounts representing $774 million in institutional assets. We pride ourselves on our people and are strongly committed to our company motto: Trusted Alternatives. Intelligent Investing.
Altegris is in a very exciting growth phase and is searching for a talented and motivated Advertising Compliance Manager to be an integral member of the Legal and Compliance Team. The right candidate must have the temperament to thrive in our high-velocity, demanding business culture and enjoy interacting with high-octane, committed co-workers who enjoy working together, value collaboration, and are passionate about providing our clients with access to some of the best investment managers in the alternatives industry.
Genworth Financial Wealth Management, Inc. (GFWM), a wholly owned subsidiary of Genworth Financial, Inc. (NYSE: GNW), is a leader in meeting the increasingly complex needs of today's independent financial advisors. GNW recently acquired the Altegris group of affiliated companies, which operate as a division within GFWM.
Responsibilities:
Altegris' Legal and Compliance team must annually coordinate, with the Marketing and Research Departments, the review, approval and periodic updating of hundreds of marketing and advertising pieces relating to its product suite. These materials include website content, presentations, fact sheets, reprints, letters, institutional sales materials, direct marketing campaigns, economic and industry reports and certain internal communications. The firm utilizes an internet-based portal to facilitate the review and processing of all materials and ensure compliance with applicable SEC, FINRA, CFTC, NFA and other regulatory standards.
Altegris' Advertising Compliance Manager will take a leadership role in conducting and managing the advertising and compliance review/approval process, in coordination with the Marketing and Research Departments. The successful candidate will be the firm's principal point of contact and will be primarily responsible for the following:
• Reviewing investment company, private-placement and commodity-futures marketing, advertising and promotional materials to ensure compliance with all regulatory requirements
• Interacting frequently with the principal underwriter of mutual funds advised by Altegris, and coordinating with the staff of the Sales, Legal and Compliance, Marketing and Research Departments concerning advertising review matters
• Communicating and advocating effectively with the staff of FINRA's advertising regulation department and other regulators regarding advertising review matters
• Monitoring compliance issues relevant to advertising and marketing materials and staying current on FINRA, SEC, State and internal standards
• Ongoing management, mastery and oversight of the internet-based portal to facilitate the review and processing of advertising materials, including the training of new users
Requirements:
• Bachelor's degree
• FINRA Series 7 and Series 24 licenses or willingness to obtain the 24 within 90 days
• A minimum of 5 years' experience reviewing advertising and sales materials with related work experience in the securities industry
• Proven knowledge of relevant SEC and FINRA advertising and related regulations
• Well-organized and highly efficient, possessing excellent verbal and written communications skills and the ability to interact and communicate effectively with management-level personnel, subject-matter experts, legal counsel, and regulatory agencies
• Excellent interpersonal skills and the ability to remain fully engaged with all business clients and work well under pressure
• Confident self-starter with ability to work independently with minimal supervision
• Ability to thrive in a demanding and fluid environment presenting frequent work-flow and project-priority changes
• Proficiency in MS Office Applications, including Word, Excel and Outlook, and in Adobe Acrobat Professional
Preferred:
• Alternative-investment experience
• Knowledge of CFTC and NFA promotional materials regulations
• Prior knowledge of Crystal Reports, MS Visio and Goldmine (or other CRM tools)
Please post for job number RP13498 at our website