Compliance Marketing Review Specialist

Atlantic Group; New York (NY); On-site; USD 200,000 - 250,000; Full time

Job summary

A global investment firm is seeking a Vice President for their Compliance Marketing Review team. This role involves reviewing and advising on marketing materials to ensure compliance with regulatory requirements. Candidates should have 4-7 years of experience in this area, along with Series 7 and 24 licenses. Strong analytical skills and an understanding of compliance regulations are essential for success in this position.

Qualifications

• 4-7 years minimum experience reviewing marketing material.
• Series 7 and 24 licenses required.
• Strong understanding of regulatory obligations.

Responsibilities

• Conduct comprehensive and timely reviews of various materials.
• Provide guidance on compliant advertising practices.
• Assist with the implementation of new policies.

Skills

Regulatory compliance expertise

Strong analytical skills

Detail-oriented

Effective communication

Job description

Overview

Global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to identify and isolate the factors that matter most, and by developing ideas that stand up to rigorous testing.

Your Role:

We are seeking a highly motivated and detail-oriented professional to join our Compliance Marketing Review team at the Vice President level. The ideal candidate will play a key role in supporting the firm’s global marketing and business development initiatives by reviewing and advising on a broad range of marketing materials to ensure compliance with regulatory requirements and internal standards. This role offers exposure to various investment strategies, product vehicles, and senior stakeholders across the firm.

Responsibilities Include:

• Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes, and social media content.
• Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm policies.
• Apply expertise in the review of complex presentations, including hypothetical and back-tested performance, reviewing for regulatory compliance.
• Provide proactive, clear, and solution-oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices.
• Interpret and communicate about relevant regulatory rules and developments, translating them into actionable compliance and business guidance.
• Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant rulemaking initiatives, risk alerts and other regulatory matters.
• Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures.
• Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.

What You’ll Bring:

• 4-7 years minimum experience reviewing marketing material, preferably with an investment adviser or broker-dealer
• Series 7 and 24 licenses
• Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules, regulations, and interpretive guidance

Base pay range: $200,000.00/yr - $250,000.00/yr