Director of Compliance -Marketing Review

Job Detail

Experience Level Mid Level
Degree Type Bachelor of Arts (BA)
Employment Full Time
Working Type Hybrid
Job Reference 0000008195
Salary Type Annually
Industry Asset Management;Hedge Fund
Selling Points
Role will lead the day-to-day operations of our marketing compliance program, including advertising, marketing and social media review.

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.