Vice President – Marketing Compliance

Company Overview

A leading global asset management firm with nearly $300 billion in assets under management is seeking a VP of Compliance for Marketing. This role will focus on overseeing marketing materials and communications for various products.

Job Responsibilities

• Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials from a legal, regulatory, and compliance perspective.
• Supervise and train staff to conduct marketing compliance reviews.
• Manage the legal and compliance relationship with several lines of business and related products.
• Attend client meetings to discuss products and address client questions.
• Serve as primary counsel to the business advising on existing investors’ legal and compliance-related requests.
• Develop internal policies and procedures with respect to marketing and other related compliance matters.
• Develop educational materials and trainings for business professionals regarding marketing and fundraising regulations and protocols.
• Assess current and prospective regulatory risk through industry interaction and research.
• Assist with other day-to-day legal and compliance matters as needed.

Qualifications

• 8+ years of prior experience at a law firm and/or investment management firm.
• Prior experience in a compliance role and/or J.D. required.
• Understanding of the Advisers Act and FINRA regulations strongly preferred.
• Knowledge of hedge funds and drawdown funds is a plus.

Compensation: Salary: $175,000 – $250,000

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