Senior Director, Compliance: Marketing & Product Oversight

AssetMark; Concord (NH); Hybrid; USD 140,000 - 156,000; Full time

Benefits offered by this job

Flex Time or PTO

401K – 6% Employer Match

Medical, Dental, Vision

HSA – Employer contribution

Volunteer Time Off

Career Development / Recognition

Fitness Reimbursement

Hybrid Work Schedule

Job summary

AssetMark is a leading provider of investment and consulting solutions for independent financial advisors. This role supports the compliance program for new product initiatives, marketing programs, and strategic projects, guiding senior leaders as needed.

Hybrid work is possible near Concord, CA or Charlotte, NC offices. The ideal candidate brings 10+ years of financial services experience, strong regulatory knowledge, and the ability to lead cross-functional teams in a fast-paced environment

Qualifications

• Minimum 10 years financial services experience; experience with Investment Advisers Act is highly preferred.
• Demonstrates leadership, presentation, and project management skills.
• Ability to interface effectively with management and team members.

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.

Skills

Leadership

Presentation

Project management

Communication

Analytical skills

Education

Bachelor's degree

Tools

Microsoft Office

Adobe Acrobat Pro

Job description

AssetMark is a leading provider of investment and consulting solutions for independent financial advisors. This role supports the compliance program for new product initiatives, marketing programs, and strategic projects, guiding senior leaders as needed.

Hybrid work is possible near Concord, CA or Charlotte, NC offices. The ideal candidate brings 10+ years of financial services experience, strong regulatory knowledge, and the ability to lead cross-functional teams in a fast-paced environment