Sr. Manager, Marketing Compliance

About the role

You are eager to join a dynamic team to help manage the compliance function at one of the most innovative registered investment advisers and broker-dealers. You’re thorough, always ask questions, and are detail oriented. You thrive in a fast paced environment, are able to prioritize, and have an eye towards continuous improvement.

Responsibilities

• Manage and develop two (2) direct reports, conducting daily marketing review and other program tasks
• Manage and oversee the daily review of marketing materials and social media related to investment advisory and broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
• Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
• Manage our marketing review tool, including the tools use of artificial intelligence
• Identify and implement marketing program enhancements
• Review marketing-related vendors including promoters and influencers as part of our third party risk management program
• Execute the Compliance program for his or her area of responsibility, including promulgating policies and procedures, conducting monitoring, testing, and assessments, and providing training

Requirements

You have significant experience with SEC and FINRA marketing rules and have expertise in marketing review. You have strong management skills and are ready to manage a team of two. You think outside the box and find working across the business to find solutions fun!

Qualifications

You are ready to roll up your sleeves and get to work in an exciting work environment! This role is based out of our NYC office.

Skills

Expertise in SEC Rule 206(4)-1 and and FINRA Rule 2210, including rules related to testimonials/endorsements and performance marketing.

Benefits

A Day in the Life

Pay

New York City: $160,000 - $180,000

Schedule

Hybrid NY-based positions (four days/week in-office, with no required office days during the summer and winter holidays).