What are the responsibilities and job description for the Director of Compliance (Asset Management) position at Social Capital Resources?
Top-Tier Asset Manager in Midtown, Manhattan is seeking a Director of Compliance for a full-time position! This position will be primarily focused on Marketing Review.
Responsibilities:
- Responsible for review of institutional and retail marketing materials
- Reviewing, monitoring and implementing the compliance programs of registered advisers, registered funds, a limited purpose broker-dealer and private/non-listed investment products.
- Analyze marketing and distribution rules and regulations, including regulatory developments, to assess commerciality of messaging that will meet regulatory scrutiny
- Communicate compliance requirements in a clear and confident manner to all levels of the Firm
- Review, approve and provide advice on institutional and retail marketing materials across a range of strategies and products, including US registered and private funds, SMAs and SICAVs
- Review requests for proposal, due diligence questionnaires and other client communications and queries for additional information.
Qualifications:
- Series 7 and 24 FINRA registrations are required
- Bachelor’s degree
- 9 years of experience implementing compliance programs for an SEC Registered Investment Advisor and/or Broker Dealer
- 5 years of experience performing marketing compliance reviews, preferably including 3 years of experience applying SEC Rule 206(4)-1
- Experience with AdMaster and Global Relay a plus
- Strong interpersonal skills with the ability to build relationships within and outside the company
- Superior organizational skills; careful and thorough, with particular attention to detail
- Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
Salary : $175,000 - $195,000