VP, Compliance, Marketing Material recruitment
Main Function
The VP, Compliance, Marketing Material will be responsible for the review and approval of marketing material and communications with the public, including market commentary. The individual filling the role will work with a team to review marketing material, presentations, and other client communications created by various constituents and ensure that the material is compliant with both the Investment Advisers Act of 1940 and FINRA Communication guidelines.
Responsibilities
- Execute the supervisory review requirements for market material and other types of client communications generated by various Wealth and Investment Management personnel to ensure that they are compliant with current requirements.
- Assist department manager in the reviewing current work flow to ensure effectiveness as well as selecting a case management system to be used as a long-term solution to approving and storing documents.
- Work with management to maintain and update the Communications Policy, procedures, and disclosure library as necessary.
- Communicate any regulatory updates or guidance to management.
- Work with various partners in the organization including; Marketing, Legal, Compliance, Management, and Investment Representatives to appropriately review and approve marketing and other forms of communication.
Requirements
Basic Qualifications:
- BA/BS Degree
- 5+ years industry experience in reviewing and approving marketing material.
- Series 7, 63, and 24 is required
Preferred Qualifications:
- Solid knowledge of communications rules governed by the Advisers Act of 1940 and FINRA
- Must be organized, articulate, able to multitask, detailed oriented, be able to prioritize, and effectively interact with sales staff, and other personnel
May 12, 2012
• Tags: Asset Management careers in the USA, Compliance, Marketing Material recruitment, VP • Posted in: Financial