Social Capital Resources
Director of Compliance - Marketing Review
Social Capital Resources, New York, New York, United States,
Top-Tier Investment Management Firm in Midtown, Manhattan is seeking a Director of Compliance, with a focus on Marketing Review!
Responsibilities:
Responsible for review of institutional and retail marketing materialsReviewing, monitoring and implementing the compliance programs of registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products.Review requests for proposal, due diligence questionnaires and other client communicationsAnalyze marketing and distribution rules and regulations, including regulatory developments, to assess the commercial impact on the businesses coveredReview, approve and provide advice on institutional and retail marketing materials across a range of strategies and products, including US registered and private funds, SMAs and SICAVsConduct reviews, testing and monitoring of compliance policies and proceduresImplement revisions to policies and procedures in response to testing results or changes in regulatory or company landscape and conduct training as necessary
Qualifications:
Series 7 and 24 FINRA registrationsBachelor’s degree7+ years of experience implementing compliance programs for an SEC Registered Investment Advisor and/or Broker Dealer5+ years of experience performing marketing compliance reviews, preferably including 3 years of experience applying SEC Rule 206(4)-1Experience with AdMaster and Global Relay (or equivalent systems) a plusExcellent communication skills (effective in oral, written and presentation settings)Superior organizational skills; careful and thorough, with particular attention to detailExcellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
Responsibilities:
Responsible for review of institutional and retail marketing materialsReviewing, monitoring and implementing the compliance programs of registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products.Review requests for proposal, due diligence questionnaires and other client communicationsAnalyze marketing and distribution rules and regulations, including regulatory developments, to assess the commercial impact on the businesses coveredReview, approve and provide advice on institutional and retail marketing materials across a range of strategies and products, including US registered and private funds, SMAs and SICAVsConduct reviews, testing and monitoring of compliance policies and proceduresImplement revisions to policies and procedures in response to testing results or changes in regulatory or company landscape and conduct training as necessary
Qualifications:
Series 7 and 24 FINRA registrationsBachelor’s degree7+ years of experience implementing compliance programs for an SEC Registered Investment Advisor and/or Broker Dealer5+ years of experience performing marketing compliance reviews, preferably including 3 years of experience applying SEC Rule 206(4)-1Experience with AdMaster and Global Relay (or equivalent systems) a plusExcellent communication skills (effective in oral, written and presentation settings)Superior organizational skills; careful and thorough, with particular attention to detailExcellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint