Compliance - Compliance Marketing Review

About the role

You will own the end to end compliance review of client facing and internal marketing materials ensuring alignment with regulatory expectations and firm standards. You will act as the primary compliance partner for business development and investment teams guiding them on acceptable language and presentation. You will evaluate complex investment strategies and hypothetical scenarios through a rigorous compliance lens. You will translate evolving regulatory rulemaking into practical guidance that protects the firm and informs better client communication. You will work across multiple asset classes and product structures applying a consistent framework to all review engagements. You will mentor colleagues on best practices for compliant advertising and performance reporting. You will contribute to the continuous improvement of firm policies and training materials related to compliance documentation.

Key facts

What you'll do

• Undertake comprehensive and timely compliance reviews of marketing materials, client reports, research papers, webisodes, and social media content across diverse strategies.
• Assess presentations and proposals for adherence to global regulatory regimes including SEC Rule 206 4 1, FINRA Rule 2210, ESMA, FCA, and other non US frameworks.
• Scrutinize complex presentations that include hypothetical performance, back tested results, and forward looking statements for regulatory compliance and factual accuracy.
• Interpret intricate rules and guidance and convert them into clear, actionable advice for investment professionals and business development staff.
• Provide proactive, solution oriented guidance to ensure compliant advertising practices and responsible performance reporting.
• Monitor and analyze regulatory developments, risk alerts, and rulemaking initiatives to maintain current expertise and influence internal policy.
• Support the design and rollout of new compliance policies and procedures and manage updates to existing governance documents.
• Deliver training sessions and create informational tools to enhance compliance awareness across the organization.
• Partner closely with legal, research, and product teams to resolve compliance issues before materials are distributed.
• Apply rigorous judgment to review documents that involve multi asset class strategies and complex investment structures.
• Champion a culture of integrity and transparency by embedding compliance considerations into the content creation workflow.
• Identify recurring issues and propose process improvements to reduce rework and strengthen first pass quality.
• Collaborate on the maintenance of compliance checklists, sign off documentation, and escalation protocols.
• Represent the compliance function in cross functional discussions to balance regulatory requirements with business objectives.

Requirements

• Hold a Bachelor's degree or equivalent qualification.
• Possess a minimum of 3 to 5 years of experience reviewing marketing material, ideally within an investment adviser or broker dealer environment.
• Demonstrate a strong understanding of regulatory obligations under SEC Rule 206 4 1, the SEC Marketing Rule, FINRA Rule 2210, ESMA, FCA, and other relevant non US regulatory regimes.
• Show exceptional organizational skills, strong communication abilities, meticulous attention to detail, and responsiveness to stakeholder needs.
• Deliver accurate, direct, and practical compliance advice in a timely and professional manner.
• Exercise proactive time management and the capacity to manage multiple projects independently.
• Exhibit a hard working, team oriented mindset while handling tight deadlines in a highly intellectual and collaborative setting.
• Maintain a commitment to continuous learning and adaptability in a dynamic regulatory landscape.

Nice to have

• Preferred knowledge of industry best practices for compliance marketing and performance presentation.
• Familiarity with internal firm policies and procedures related to communications and disclosure.

Practical notes

• The engagement details are sourced directly from the originating document and have not been altered.
• No specific working hours are outlined in the source material.
• No explicit travel requirements are defined in the provided source.
• No visa information is specified within the source documentation.
• Compensation details are omitted as no pay information is provided in the source.
• No application deadline is stated in the available source.