Careers

Job Description

Compliance Director, Sales Literature & Marketing Materials Review  in New York

1. Manage the firm’s program for the review and supervision of broker-dealer retail and advisory institutional related advertising and sales literature. 

2. Manage the firm’s program for the review and supervision of its retail and institutional web sites. Both internal and external. 

3. Directly supervise, coach, and mentor two direct reports, and manage processes that have consistency and clarity in the materials. 

4. Assess marketing compliance risks and communicate effectively with the business on a day to day basis. 

5. Provide marketing compliance advice and assistance to the business by attending meetings, holding ad hoc discussions, and attending business functions. 

6. Follow through and deliver guidance to the business in a timely manner. 

7. Stay current with all applicable changes to securities rules and regulations. Must have thorough knowledge of FINRA Advertising Rules, SEC Investment Advisory Rules and in depth GIPS experience. 

8. Contribute to the design, establishment, implementation and revision of compliance systems, policies and procedures. 

9. Lead compliance training regarding marketing policies and procedures. Will train Marketing and Sales at least semi-annually on Marketing Best Practices and Firm wide marketing issues. 
10. Ensure that staff is responsible for e mail surveillance of the Firm’s registered representatives. 
11. Maintain and oversee proper e- mail retention and supervision policies. Work with third party provider of electronic communication retention and supervisory systems to meet SEC Rule 17(a)-4 and FINRA 3010 requirements. 

12. Assist with examinations and audits by internal and external parties. 

13. Perform special projects and other duties as assigned. 

14. Establish, implement, and supervise project plans. 
15. Assist the CCO & Senior Compliance Officer with various other duties as assigned. 

QUALIFICATIONS 
1. Have detailed knowledge of securities laws applicable to mutual fund advertising and sales literature including SEC and FINRA rules and requirements. Must also have thorough GIPS as well as institutional investment advisory marketing review experience. 
2. 7+ years general compliance experience with an emphasis on reviewing and editing broker-dealer mutual fund related advertising, and sales literature for compliance with FINRA and SEC requirements. 
3. Candidate must have a thorough understanding and in depth experience with sophisticated products such as closed end funds, hedge funds, and other alternative investment vehicles. 
4. Strong management skills and experience in supervising a staff 
5. Excellent interpersonal, communication, and organizational skills, 
6. Proven writing and analytical skills Consensus builder and team player with the ability to work well within a matrix organization. 
7. Must have active Series 7 and Series 24 securities licenses. 
8. Professional experience with the SEC and or NASD/FINRA is highly desired.

Job Requirements

8 - 10 Years

Application Information

• Apply through The Compliance Search Group