Investmentt Advisory and Marketing Review Compliance recruitment

Primary Responsibilities:

Marketing Material Review

• Supervise the review of presentations, RFP’s, commentaries, interviews, and web-based content for all equity and fixed income strategies and assist in actively reviewing material to ensure material is prioritized and production deadlines are met.

• Oversee review of marketing material for sub-advised mutual funds and hedge funds.

• Conduct review of all new content material to ensure compliance with investment advisor rules, GIPS standards, and FINRA content standards where applicable. 

• Work with the CCO of the broker dealer to understand new FINRA regulations applicable to the marketing activity of the business. Communicate new requirements to registered reps and document written supervisory procedures.

• Function as the primary compliance liaison between marketing and the legal department on all issues arising from legal. Coordinate with marketing, legal and the business on new marketing content for new products. 

• Work with marketing and client accounting to resolve questions on new GIPS composites. Review and approve account changes within composites.

• Provide guidance to the marketing team regarding advertising regulations, GIPS industry standards, and marketing policies. 

• Assist in preparing and maintaining Form ADV.

Gifts Entertainment

• Administer GE policy. This includes providing guidance for inquiries from client service prior to meetings with prospects and obtaining pre-approval for specific events when necessary. 

• Review the GE log for exceptions to the firm’s GE policy. Follow-up with management on exception resolution and reporting. 

• Liaise with legal to obtain guidance on jurisdictional restrictions for GE, (e.g. public pension plans). Build and maintain an inventory of GE guidance by jurisdiction. 

Anti-Bribery/ FCPA

• Liaise with legal to provide guidance on GE for purposes of compliance under FCPA. 

• Annually work with the business to complete the FCPA certification process. This involves working with senior management to review the due diligence process.

Lobbyist

• Manage and maintain investment advisor lobbyist registration. Track jurisdictions where client service is registered and coordinate annual renewals.

• Work with client service to ensure an understanding of lobbyist registration process when marketing in jurisdictions.

Qualifications Experience:

• Bachelor’s degree

• 7-10 years of Investment Advisor compliance experience

• Understanding of Investment Advisor’s Act of 1940, specifically advisor advertising and regulatory guidance

• Familiarity with FINRA advertising/marketing rules and regulations

• Knowledge of Global Investment Performance Standards (GIPS)

• Previous supervisory experience

Skills:

• Strong written and oral communication skills with ability to interface and influence senior management as well as marketing and legal staff.

• Established ability to multi-task, prioritize and organize time effectively in a fast-pace environment with changing deadlines.

• Demonstrates strong analytical skills and attention to detail.