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Vice President, US Marketing Compliance

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United States  New York, United States
Apprenticeship, Marketing, English
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Job Description:

Description

About this role

Business Unit Overview:
(COMPANY NAME)'s Compliance Department protects (COMPANY NAME)'s reputation and provides client focused advice. It understands challenges and advises on the impact of regulation in our business, with the objective of:
* Actively participating in business decisions to champion our clients' interests;
* Collaborating with the business to position Compliance centrally into their daily work;
* Having client interests at the center of everything we do;
* Cultivating and enhancing the compliance culture within (COMPANY NAME);
* Providing thought leadership, analysis, and advice on the impact and implementation of regulation on the businesses and its clients; and,
* Developing and fostering excellence within the Compliance team.

Role Description:
This individual will join the US Marketing and Distribution Compliance team to focus on the sales and marketing efforts of key asset management businesses, platforms, and brand while protecting our reputation. This is a unique opportunity to assist (COMPANY NAME) using asset management experience, product knowledge, and knowledge of applicable rules and regulations, including FINRA Rule 2210 and the SEC Investment Adviser Marketing Rule.

Key Responsibilities:
This individual will be part of a larger global team and will work on projects and initiatives, advise on sales and marketing materials, manage internal stakeholder relationships, and deliver on an innovative project pipeline.
* Review and provide advice on marketing materials for asset management content across a range of products, platforms, and brand
* Analyze rules and regulations, including regulatory developments, to assess the commercial impact on the businesses covered
* Participate on working groups with internal stakeholders to support initiatives
* Work closely with global colleagues to help develop and ensure consistency of guidance
* Deliver targeted training on applicable marketing and distribution considerations

Knowledge/experience:
* 6-8 years of legal and/or regulatory (compliance) experience in asset management
* Bachelor's degree required; graduate/law degree a plus
* Strong knowledge of asset management business
* Strong knowledge of products and services distributed to institutional clients
* Experience in application of FINRA and SEC advertising rules
* Strong analytical skills
* Strong written and oral communication skills
* High standard of accuracy and excellent attention to detail
* Ability to prioritize workloads, multi-task and adhere to deadlines
* Excellent organizational and project management skills
* Collaborative team player, ability to work on team projects

For New York City only: The salary range for this position is $125,000 - $173,500. Additionally, employees are eligible for an annual discretionary bonus, and benefits including heath care, leave benefits, and retirement benefits. (COMPANY NAME) operates a pay-for-performance compensation philosophy and your total compensation may vary based on role, location, and firm, department and individual performance.

Our benefits

To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.

Our hybrid work model

(COMPANY NAME)'s hybrid work model is designed to enable a culture of collaboration and apprenticeship that enriches the experience of our employees, while supporting flexibility for all. Employees are currently required to work at least 4 days in the office per week, with the flexibility to work from home 1 day a week. Some business groups may require more time in the office due to their roles and responsibilities. We remain focused on increasing the impactful moments that arise when we work together in person - aligned with our commitment to performance and innovation. As a new joiner, you can count on this hybrid model to accelerate your learning and onboarding experience here at (COMPANY NAME).

About (COMPANY NAME)

At (COMPANY NAME), we are all connected by one mission: to help more and more people experience financial well-being. Our clients, and the people they serve, are saving for retirement, paying for their children's educations, buying homes and starting businesses. Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress.

This mission would not be possible without our smartest investment - the one we make in our employees. It's why we're dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive.

For additional information on (COMPANY NAME), please visit @(COMPANY NAME) | Twitter: @(COMPANY NAME) | LinkedIn: www.linkedin.com/company/(COMPANY NAME)

(COMPANY NAME) is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.

(COMPANY NAME) will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law

Source: Company website
Posted on: 12 Apr 2024
Type of job: Apprenticeship
Industry: Banking / Finance
Languages: English
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