Interim SVP of Marketing and Distribution Compliance
Major, Lindsey & Africa, LLC - Buffalo, New York, United States, 14221Work at Major, Lindsey & Africa, LLC
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Overview
Remember to check your CV before applying Also, ensure you read through all the requirements related to this role.Company:
A World-renowned Financial Institution.Overview : Major, Lindsey & Africa is seeking an Interim SVP of Marketing and Distribution Compliance.Experience:
At least 10 years of experience handling Marketing Compliance relative to the Firm’s Financial Products, Investor Relations and other fundraising/ reporting matters, while leading a junior team of attorneys.Location:
NYC. In Office 4 Days per week.Responsibilities Include:Lead a team responsible for reviewing marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g., quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective;Help build compliance team operating within global business;Manage the demanding workflow of fund investor communications needing compliance review to ensure timely and thorough advice is delivered to Institutional and Private Wealth Clients while helping to assess and manage regulatory and business risks;Supervise and train staff to conduct marketing compliance reviews;Manage the Legal and Compliance relationship with senior leadership in several lines of business and related products;Serve as a point of escalation for resolution of compliance- and process-related questions arising from the review and approval of marketing materials and fund investor communications;Attend client meetings to discuss Blackstone products and address client questions;Serve as primary counsel to the business advising on existing investors’ legal and compliance-related requests;Develop internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters, and assist maintaining broader Legal and Compliance policies and procedures;Develop educational materials and trainings for business professionals with respect to marketing and fundraising regulations and protocols;Assess current and prospective regulatory risk through industry interaction and research; andAssist with other day-to-day Legal and Compliance matters as needed.Qualifications Include:10+ years of prior experience at a law firm and/or investment management firm;Prior experience in a compliance role and/or J.D. required;Understanding of the Investment Advisers Act and FINRA regulations strongly preferred;Knowledge of alternative investments, including hedge funds and drawdown funds, a plus;Strong attention to detail and analytical skills;Strong project management and organizational skills with ability to manage multiple and sometimes conflicting demands;Ability to transform complex compliance, legal, and business problems into commercially actionable work plans;Highly effective oral and written skills and ability to communicate confidently, effectively, and diplomatically;Ability to work independently while remaining a strong team player who works collaboratively and builds strong working relationships;Proactive management skills and the ability to manage projects independently and to conclusion; andSubstantial initiative, creativity and drive and the ability to implement a measured approach under competing demands and with confidence.Available to work outside of regular business hours as needed.Information regarding benefits can be found on MLA’s Website on the Consultant Resources Page:https://www.mlaglobal.com/en/consultant-resourcesAll interested and qualified candidates should apply directly with Major, Lindsey & Africa for review and consideration.Major, Lindsey & Africa does not discriminate against applications on the basis of age, sex, race or any other protected characteristics pursuant to applicable state or federal laws.JOB ID: 200556
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