Director, Corporate Compliance & Marketing Oversight

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

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