Director, Corporate Compliance

AssetMark Financial Holdings; Concord (CA); Hybrid; USD 140,000 - 156,000; Full time

Job summary

AssetMark Financial Holdings is seeking an experienced Compliance professional to support the firm's compliance program related to new product initiatives, marketing programs, and strategic projects. You will guide regulatory risk assessments, coordinate with product, marketing, and legal teams, and manage junior advertising review staff.

A hybrid schedule near Concord, CA or Charlotte, NC is possible. The role leads compliance for advertising materials, assists with regulatory examinations, and

Qualifications

• Minimum 10 years financial services experience with Investment Advisers Act of 1940.
• Solid knowledge of advertising rules and marketing review processes.
• Strong leadership, presentation, and project management skills.
• Ability to interface effectively with management and team members.
• Excellent verbal and written communication; detail-oriented and analytical.

Responsibilities

• Enhance compliance program related to platform product oversight.
• Identify risks in product creation processes and initiate controls.
• Develop testing related to marketing and product initiatives and ensure regulatory compliance.
• Advise Marketing and business leaders on advertising requirements.
• Lead junior marketing review staff and coordinate with product teams.
• Serve as liaison with marketing and product development on compliance matters.
• Ensure compliance with Rule 206(4)-1, Rule 482, FINRA advertising rules.
• Own marketing review workflow and update related policies.

Skills

Leadership

Regulatory knowledge

Communication

Attention to detail

Interpersonal skills

Time management

Project management

Team collaboration

Education

Bachelor's degree

Tools

Microsoft Office

Adobe Acrobat Pro

Job description

Job Description:

AssetMark is a leading strategic provider of innovative investment and consulting solutions serving independent financial advisors.

We provide portfolio, business consulting, service, and support solutions that advisors use in helping clients achieve their business goals to service their clients.

Summary of Role

You will support the firm's compliance program and will manage the compliance responsibilities related to new product initiatives and enhancements, marketing programs, and other strategic programs that seek to drive firm growth. You will regularly engage with product and marketing team members, attend meetings, and will provide guidance on all compliance items, such as regulatory risk and performance requirements. You will also manage related compliance responsibilities related to marketing and sales functions such as advertising, social media, and third-party marketing reviews. You will manage junior advertising review staff, and will help ensure all sales, client proposals and marketing materials are in compliance with internal policies and regulatory requirements. The role will also lead special projects and perform research as needed for other compliance program matters and will provide compliance guidance to senior business leaders as needed. The ideal candidate will possess all of the qualifications required for the job, including financial services industry experience. The candidate should be dependable, motivated, and be able to work under minimal supervision and meet demanding deadlines. This position reports directly to the VP, Corporate Compliance, and will meet frequently with the Investment Advisor Chief Compliance Officer, and other Compliance and Legal senior leaders.

We can consider candidates for this position who are able to accommodate a hybrid work schedule and are close to our Concord, CA or Charlotte, NC offices.

Key Responsibilities

• Enhance compliance program and policies related to platform product oversight
• Identify risks within product creation process and initiate controls
• Develop, perform, and assist testing related to marketing and product initiatives, performance policies, and to ensure related processes are in compliance
• Advise Marketing and other business leaders on compliance with advertising requirements
• Manage junior marketing review staff
• Serve as lead compliance liaison with the marketing and product development teams
• Function as subject matter expert on marketing and advertising material review under Rule 206(4)-1 of the Investment Advisers Act of 1940, Rule 482 of the Securities Act of 1933 and relevant FINRA advertising rules
• Own compliance marketing review through marketing workflow system
• Own compliance marketing guide, related policies and procedures, and develop/update as needed
• Develop disclosures for marketing and advertising as needed
• Collaborate with investment and reporting teams regarding performance related matters
• Review certain policies and procedures relating to the Adviser. Ensure that such policies and procedures are up-to-date and reflect current operational practices
• Assist in coordinating regulatory examinations by federal regulators and internal audits. Ensure productive relationships with internal auditors and regulators
• Contribute to the development and implementation of internal training programs for the firm's investment adviser and broker-dealer
• Work closely with Legal and follow through on issues pertaining to compliance efforts
• Ensure productive working relationships within AssetMark, striving to establish constructive relationships based on clear communication, mutual respect, understanding, and shared objectives

Qualifications

• Minimum 10 years financial services experience, including direct experience with Investment Advisers Act of 1940
• Marketing/advertising review experience and a solid knowledge of the Advertising Rule 206(4)-1 is highly preferred
• Solid understanding of investment advisory products and processes
• Regulatory experience; audit experience a plus
• Bachelor's degree required
• Exceptional attention to detail
• Demonstrates leadership, presentation, and project management skills
• Ability to interface effectively with management and team members
• Possesses strong verbal and written communication skills and strong interpersonal skills
• Ability to prioritize competing tasks and responsibilities
• Ability to drive results in a comprehensive manner taking into account time constraints
• Demonstrated success in working within processes, procedures and systems that optimize compliance and business results
• Highly analytical, organized, detail oriented, self-motivated, and capable of monitoring and completing a variety of projects simultaneously
• Advanced knowledge of Microsoft Office® (Word, Excel, PowerPoint, Outlook) as well as Adobe® Acrobat® Pro (PDF)

Compensation

The Base Salary range for this position is as follows:

Concord Salary Range:

$140,000 $156,000

Charlotte Salary Range:

$120,000 $134,500

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