VP, Compliance Marketing Review

Our client is seeking a Vice President for Compliance Marketing Review to join their team. You will be immersed in a culture that values academic excellence, intellectual honesty, and open collaboration, working alongside knowledgeable professionals who are committed to transparency and continuous learning. The position offers significant exposure to a wide array of investment strategies and product vehicles, as well as the chance to interact with senior stakeholders across the business.

Key Responsibilities

As Vice President, Compliance Marketing Review, you will be at the forefront of safeguarding the integrity of all external communications by meticulously reviewing a broad spectrum of marketing materials. Your day-to-day responsibilities will involve collaborating with business development teams to provide practical compliance solutions while interpreting complex regulatory requirements. You will play an instrumental role in shaping how the organization presents itself globally by ensuring every piece of content aligns with both legal obligations and internal standards. Success in this position requires you to stay informed about industry trends, proactively update policies as regulations evolve, deliver engaging training sessions for staff members at all levels, and offer dependable guidance that supports both commercial objectives and ethical standards. Your ability to communicate clearly with stakeholders across functions will help maintain the firm’s reputation for excellence while fostering an environment where compliance is seamlessly integrated into daily operations.

• Conduct thorough and timely reviews of diverse marketing materials such as client reports, research papers, webisodes, social media content, and other client-facing documents to ensure compliance with global regulations and internal policies.
• Assess materials spanning multiple asset classes and investment strategies for adherence to applicable regulatory frameworks, including SEC Rule 206(4)-1, FINRA Rule 2210, and relevant non-US regimes.
• Apply your expertise in evaluating complex presentations involving hypothetical or back-tested performance data for regulatory compliance.
• Provide clear, proactive, and solution-oriented guidance to business development and investment professionals on compliant advertising practices and accurate performance reporting.
• Interpret evolving regulatory rules and developments, translating them into actionable compliance advice for various teams within the organization.
• Maintain up-to-date industry knowledge by monitoring rulemaking initiatives, risk alerts, and other regulatory matters relevant to marketing compliance.
• Assist in implementing new policies and procedures while also updating existing ones to reflect current best practices and regulatory changes.
• Deliver training sessions and create informational tools for staff on compliance policies, procedures, and regulatory requirements.
• Collaborate closely with colleagues across departments to foster a culture of compliance awareness throughout the organization.
• Support the team by occasionally working outside regular business hours as needed, including monitoring communications during evenings or weekends.
  
  

Key Requirements

To excel as Vice President, Compliance Marketing Review, you will bring proven experience navigating complex financial regulations within a fast-evolving investment environment. Your background should include hands-on responsibility for reviewing marketing materials against stringent legal standards—ideally gained at an investment adviser or broker-dealer—and holding relevant securities licenses. You are known for your meticulous attention to detail, coupled with excellent interpersonal skills that allow you to build trust across teams. Your ability to interpret nuanced regulatory changes ensures that your advice remains both practical and reliable. In addition to technical expertise, your collaborative spirit enables you to thrive in environments where knowledge sharing is valued. You are comfortable delivering training sessions that empower others while remaining responsive under pressure. Above all else, your dedication to ethical conduct helps reinforce a culture where compliance is seen not just as a requirement but as an integral part of organizational success.

• Bachelor’s degree required with a minimum of 6-8 years’ experience reviewing marketing material within an investment adviser or broker-dealer setting.
• Possession of Series 7 and 24 licenses is mandatory for this role due to its regulatory focus.
• Comprehensive understanding of SEC Rule 206(4)-1 under the Investment Advisers Act, SEC Marketing Rule, FINRA Rule 2210, as well as familiarity with non-US regulatory frameworks.
• Exceptional organizational skills paired with strong written and verbal communication abilities enable you to convey complex information.
• Demonstrated responsiveness in providing accurate advice promptly while managing multiple projects efficiently under tight deadlines.
• Proactive approach to time management combined with the capacity to work independently when necessary without sacrificing teamwork or collaboration.
• Experience delivering training or creating educational resources related to compliance topics is highly desirable.
• Ability to interpret new regulations quickly and translate them into actionable guidance for diverse audiences within the firm.
• A commitment to maintaining up-to-date industry knowledge through ongoing professional development activities.
• Willingness to work flexibly outside standard business hours when required by project demands or urgent compliance matters.
  
  

What Sets This Company Apart

• This organization stands out as a leader in global investment management thanks to its unwavering commitment to academic rigor, intellectual honesty, and transparent collaboration.
  
  

What's Next

If interested in this position, please contact Daniela Garcia at Daniela.Garcia@robertwalters.com