Fund Marketing Review, Associate Director

About the Role

Key Responsibilities

• Review and approve Advertising and Sales Material, including working independently in the review and principal approval of registered investment company and private fund material to ensure compliance with regulatory requirements such as FINRA Rule 2210 and SEC rules.
• Provide direction to multiple clients on materials, review and translate FINRA comment letters into actionable feedback.
• Monitor regulations and stay aware of current FINRA, SEC, and internal standards, advising appropriate parties and ensuring materials conform with applicable standards and rules.
• Report to senior management regarding any potential or perceived violations of applicable laws, rules, or policies.
• Ensure adherence to firm information security, cyber security, and privacy policies.
• Maintain firm books and records policies and procedures for management and retention, including operational and electronic communications records.
• Follow broker-dealer Business Continuity and Disaster Recovery plans for services and solutions delivered.
• Assist with preparing and updating broker-dealer related procedures and manuals.
• Support coaching and development of team members.
• Collaborate with team members on business development, firm marketing, thought leadership, and strengthening client relationships.
• Perform other tasks, special projects, and duties as assigned.

Requirements

• At least 5 years of in-house or consulting experience in fund distribution/broker dealer communications review.
• FINRA Series 7 & 24 licenses are required; experience working for a broker dealer acting as distributor to '40 Act products is preferred.
• Series 63 license is a plus.
• Experience with marketing and advertising review workflow technology, such as Red Oak.
• Familiarity with securities laws, regulations, and statutes related to marketing and advertising, including SEC registered and FINRA member broker-dealers, registered and private fund offerings, FINRA Rules, the Investment Company Act of 1940, the Securities Act of 1933, and Regulation D.
• Ability to understand and communicate technical regulatory requirements effectively to diverse audiences.
• Strong documentation skills, self-motivation, and organizational abilities.
• Experience in fostering communication and successful partnerships with professionals, including executive management.

Nice to Have

• Experience working for a broker dealer acting as distributor to '40 Act products.
• Experience with marketing and advertising review workflow technology.

Qualifications

• Series 7 & 24 licenses.
• Experience in fund distribution/broker dealer communications review.

Benefits & Perks

• Health Insurance - we cover 100% of the cost for Employees with a comprehensive selection of medical, dental, and vision plans.
• Life and disability insurance.
• 401(k) Savings Plan.
• Unlimited Vacation Policy.
• Flexible Work from Home Policy.
• Paid maternity and paternity leave.