Role will lead the day-to-day operations of our marketing compliance program, including advertising, marketing and social media review.
Director of Compliance -Marketing Review
in Financial Services PermanentJob Detail
Job Description
Duties:
- The Director of Compliance -Marketing Review role is at CT based Asset manager and is focused on overseeing the firm's compliance program related to marketing and advertising materials.
- This includes ensuring marketing content aligns with internal policies and regulations for the Registered Investment Adviser and Broker-Dealer.
- The director will collaborate closely with internal teams such as Marketing, Sales, and Communications to ensure efficient workflows and timely delivery of compliant materials.
- Key responsibilities include monitoring regulatory changes, reviewing content related to ETFs/ETPs, and supporting compliance under applicable rules like the Investment Advisers Act.
Requirements:
- Candidates should have extensive experience in marketing compliance, knowledge of investment product regulations, and hold relevant certifications such as FINRA Series 7 and 24.
- ShareAustin:
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