Sr. Manager, Marketing Compliance

Responsibilities

• Manage and develop two direct reports, conducting daily marketing review and other program tasks
• Manage and oversee the daily review of marketing materials and social media related to investment advisory and broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
• Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
• Manage our marketing review tool, including the tool's use of artificial intelligence
• Identify and implement marketing program enhancements
• Review marketing-related vendors including promoters and influencers as part of our third party risk management program
• Execute the Compliance program for area of responsibility, including promulgating policies and procedures, conducting monitoring, testing, and assessments, and providing training

Requirements

• Expertise in SEC Rule 206(4)-1 and FINRA Rule 2210, including rules related to testimonials/endorsements and performance marketing
• Ability to organize and prioritize workflow and assignments in a deadline-oriented environment
• Ability to multi-task and work within tight deadlines
• Management experience
• A meticulous attention to detail
• Desire to work in a fast paced and changing environment
• Excellent communication and organizational skills
• Ability to work well across various business units
• Strong intellectual curiosity
• Series 24 required (or must obtain)

Compensation

• New York City: $160,000 - $180,000 base salary
• Eligible for variable compensation in the form of a company incentive bonus