AVP of Compliance (Asset Management)

Top-Tier Investment Management firm in Midtown, Manhattan is seeking a Compliance AVP for a full-time position!

Responsibilities:

• Responsible for advertising and marketing compliance
• Respond to internal and external inquiries regarding regulatory requirements
• Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules
• Collaborate with the Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
• Effectively track advertising and sales literature using applicable methods and tools per industry/company record retention requirements.
• Participates in applicable projects to make significant structural changes to the advertising compliance review process.
• Review and approve sales and advertising literature for registered products, SMA’s.
• Develop and implement effective methods and best practices for reviewing marketing communications.
• Assist in researching and responding to comments and/or inquiries received from FINRA.

Qualifications:

• Bachelor’s Degree
• Series 7 & 24 are required
• Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry.
• Fundamental investment concepts, practices and procedures used in the securities industry.
• 4 experience in asset management industry and understanding of securities laws.
• 2 experience in the review of marketing material preferred
• Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations.
• Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
• Knowledge of financial markets and products.
• Familiarity with Red Oak Advertising Review and Record keeping System or a similar vendor preferred.