Director, Corporate Compliance & Marketing Risk (Hybrid)

AssetMark; Charlotte (NC); Hybrid; USD 120,000 - 156,000; Full time

Benefits offered by this job

Hybrid Work Schedule

401K Matching

Medical, Dental, Vision

Job summary

AssetMark is seeking a senior compliance professional to support its program, oversee advertising review, and guide marketing initiatives to ensure regulatory alignment. You will work with product, legal, and senior leaders and manage junior staff across functional teams.

The role emphasizes cross-functional collaboration, policy development, and training. Hybrid work is available near Concord, CA or Charlotte, NC, with competitive base compensation and benefits.

Qualifications

• Minimum 10 years financial services experience including direct Investment Advisers Act 1940 exposure.
• Experience in advertising review and knowledge of Rule 206(4)-1 preferred.
• Strong understanding of investment advisory products and processes.
• Regulatory/audit experience a plus.
• Excellent attention to detail and leadership skills.
• Ability to manage multiple priorities and meet deadlines.
• Proficient in MS Office and Acrobat Pro.

Responsibilities

• Enhance compliance program and policies for platform product oversight.
• Identify risks in product creation processes and implement controls.
• Develop and perform testing for marketing/product initiatives and performance policies for compliance.
• Advise leadership on advertising requirements and regulatory matters.
• Manage junior marketing review staff and coordinate with marketing and product teams.
• Lead compliance liaison activities with marketing and development teams.
• Oversee marketing review under applicable investment regulations and advertising rules.
• Develop disclosures for marketing and advertising as needed.

Skills

Regulatory compliance

Advertising review

Leadership

Project management

Communication skills

Interpersonal skills

Attention to detail

Time management

Microsoft Office

Adobe Acrobat Pro

Education

Bachelor’s degree

Tools

Microsoft Office

Adobe Acrobat Pro

Job description

AssetMark is seeking a senior compliance professional to support its program, oversee advertising review, and guide marketing initiatives to ensure regulatory alignment. You will work with product, legal, and senior leaders and manage junior staff across functional teams.

The role emphasizes cross-functional collaboration, policy development, and training. Hybrid work is available near Concord, CA or Charlotte, NC, with competitive base compensation and benefits.