Description
The Vice President, Sales and Marketing Compliance, will manage a global team of compliance professionals responsible for the review of advertising and sales literature to ensure adherence to FINRA and SEC rules and regulations, as well as internal firm guidelines.Primary responsibilities include:
- Manage a global team of compliance professionals responsible for the review and approval of sales and advertising literature for registered products (Exchange Traded Funds and Mutual Funds) and non-registered institutional products
- Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials.
- Participate in governance committees that impact Sale & Marketing collateral reviews.
- Provide periodic training to content creators in the Investment, Sales, and Marketing Teams to ensure they understand regulatory and firm compliance requirements.
- Collaborate with the investment advisor business and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
- Ensure that the review process is robust and constantly improved.
- Ensure that materials created for public use are filed with FINRA in a timely manner.
- Review FINRA comment letters and ensure that they are resolved and responded to on a timely basis.
- Assist in maintaining an electronic review system that is used for reviewing and recordkeeping all material in accordance with Record Retention requirements.
- Assist in preparation for regulatory examinations.
- Provide daily training interaction with new employees regarding Firm's policies, procedures and regulatory requirements.
- Assist with special projects, as requested.
Qualifications:
- A Bachelor's Degree or equivalent is required.
- A minimum of 6 years of experience in reviewing advertising and sales literature and a background in regulatory compliance is required.
- Solid knowledge of the sales and marketing regulations under the Investment Advisers Act and Investment Company Act is required.
- Prior management experience and the ability to lead a team are mandatory.
- Excellent writing skills are mandatory.
- FINRA 7 and/or 24 licenses preferred.
- Excellent organizational and project management skills are required.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com