Senior Director, Corporate Compliance & Marketing Oversight

AssetMark; Concord (CA); Hybrid; USD 120,000 - 156,000; Full time

Benefits offered by this job

Hybrid work schedule

401K with employer match

Medical, dental, vision coverage

HSAs employer contribution

Volunteer time off

Career development

Job summary

AssetMark is seeking an experienced Compliance Leader to manage the compliance program for new product initiatives, marketing programs, and strategic projects. You will guide executives on regulatory risk, review advertising, and oversee junior staff, collaborating with product, legal, and marketing teams in a hybrid setting.

The ideal candidate has 10+ years in financial services compliance, strong knowledge of Investment Advisers Act of 1940, and proven leadership.

Qualifications

• Minimum 10 years financial services experience, including direct experience with Investment Advisers Act of 1940.
• Marketing/advertising review experience and knowledge of Rule 206(4)-1 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 with management and team members
• Strong verbal and written communication skills
• Ability to prioritize competing tasks and responsibilities
• Ability to drive results in a comprehensive manner
• Demonstrated success in working within processes, procedures and systems that optimize compliance and business results
• Highly analytical, organized, detail oriented, self-motivated
• Advanced knowledge of Microsoft Office and Adobe Acrobat Pro

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 marketing and product development teams.
• Act as subject matter expert on marketing and advertising material review under applicable laws and regulations.
• Own compliance marketing review through marketing workflow system.
• Develop/update disclosures for marketing and advertising as needed.
• Collaborate with investment and reporting teams regarding performance related matters.
• Review policies and procedures relating to the Adviser to reflect current operations.
• Assist in coordinating regulatory examinations and audits; maintain relations with regulators and internal auditors.
• Contribute to internal training programs for investment adviser and broker-dealer.
• Work with Legal on compliance issues and follow-through.
• Foster productive relationships within AssetMark and across teams.

Skills

Regulatory compliance

Advertising review

Project management

Leadership

Communication

MS Office

Adobe Acrobat Pro

Education

Bachelor's degree

Tools

Microsoft Office

Adobe Acrobat Pro

Job description

AssetMark is seeking an experienced Compliance Leader to manage the compliance program for new product initiatives, marketing programs, and strategic projects. You will guide executives on regulatory risk, review advertising, and oversee junior staff, collaborating with product, legal, and marketing teams in a hybrid setting.

The ideal candidate has 10+ years in financial services compliance, strong knowledge of Investment Advisers Act of 1940, and proven leadership.