A leading publicly traded alternative asset manager with over $50B in AUM across various business lines. The firm is known for its excellent culture and growth, with over 600 employees in 10 offices globally.
Role Overview:
Reporting to the Managing Director in Marketing Distribution, this newly created role focuses on Marketing Review Compliance for a global organization. The VP/Principal will review sales materials (RFPs, DDQs), corporate/social media posts, and work closely with international sales teams to provide compliance guidance. The role offers opportunities for growth and broader exposure within the Distribution group.
Key Responsibilities:
Review marketing materials and implement compliance processes
Advise on policies for corporate and social media posts
Provide training on compliance policies and regulatory requirements
Collaborate with sales teams on marketing and distribution activities
Qualifications:
8-10+ years of marketing review compliance experience (private & registered funds)
FINRA Series 7 & 24 required
Strong understanding of SEC and FINRA marketing rules
Excellent project management and communication skills