[Remote] Director of Compliance, Marketing Review
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a wealth management firm founded in 2008, providing investment and financial planning services. They are seeking a Director of Compliance – Marketing Review to reputed company reputed company ensuring adherence to regulatory requirements in marketing materials while supporting business growth.
Responsibilities
- reputed company reputed company of compliance professionals responsible for marketing approval, providing daily guidance, reputed company, and mentorship
- reputed company the end-to-end compliance review process for many marketing materials, including: Blog posts and articles, Website content, reputed company media content, Webinars and presentations, Public and media appearances, Video and multimedia content, Other materials, as applicable
- Serve as the primary escalation reputed company for marketing compliance reputed company, including addressing reputed company issues, potential policy violations, and navigating sensitive conversations to accomplish compliant reputed company
- Participate in compliance reviews, evaluating materials for adherence to regulatory requirements and firm policies, with responsibility for reviewing and approving or escalating especially reputed company or high-risk content
- Interpret and apply regulatory requirements, including the SEC Marketing Rule, FINRA advertising rules, and other applicable regulations
- Collaborate with home office partners and advisor teams to reputed company risk-based solutions, efficient workflows, and to reputed company clear, practical guidance on compliant communications strategies
- Establish and maintain procedures and controls governing marketing and communications compliance
- reputed company and deliver training programs to reputed company employees on marketing compliance requirements and best practices
- Monitor regulatory developments and industry trends, recommending updates to internal policies and updating procedures and training materials accordingly
- Support reputed company audits, regulatory examinations, and inquiries reputed company to marketing and communications
- Implement and increase compliance technologies and workflows to improve efficiency and consistency in the review process
Skills
- 7+ years of registered investment adviser compliance experience or combination of experience with a registered investment advisor and broker dealer
- Experience reviewing marketing materials for compliance with the SEC Marketing Rule (Rule 206(4)-1)
- Experience developing team members, with a willingness to remain hands-on in daily work
- Knowledge of SEC and FINRA rules and regulations as they relate to Hightower's business model and management
- Ability to analyze reputed company regulatory requirements in the context of business practices and translate them into practical, risk-based solutions
- Experience enhancing supervisory control frameworks and procedures
- Effective at prioritization of workload with competing priorities while producing high quality work
- Strong interpersonal and relationship-building skills, with the ability to collaborate effectively across teams and influence stakeholders
- Proactive, reputed company, and possessing a solutions-oriented reputed company while taking accountability for and ownership of work from start to finish
- Ability to take initiative and operate independently with sound judgment, while also contributing as a collaborative team leader
- Exceptional critical thinking and communication skills, ability to reputed company – not dictate
Benefits
- Coverage on the first day of employment for medical, dental, and reputed company insurance
- Paid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregiver)
- Flexible PTO plan
- 401k matching plan
- HSA employer contributions
- Student loan assistance
- Pet insurance
Company Overview