Overview

DESCRIPTION

The Asset Management division of a well-respected diversified financial services firm, is seeking a Communication Review Compliance Manger (CRCM).

The CRCM will report into the CCO of the Funds Distributors, and broker-dealer. The primary responsibility of the CRCM  is to manage a team of 3 compliance professionals who perform supervisory principal reviews for advertising and sales materials and other business communications related to Funds’ securities business.

The CRCM will be required to take an interactive, hands-on approach to the review of marketing materials and other business communications related to mutual funds, ETFs, 529 college savings programs, and other investment company products. The position will also require that the employee effectively manage and allocate resources within the team to meet business demands and mitigate regulatory risk to the firm. Management responsibilities will include, amongst other tasks, delegating the review of materials to appropriate personnel within the team and continuously supervising and assessing the quality of such reviews. The scope of materials reviewed will encompass various modes of communication including print, social media and other electronic formats.

The ideal candidate for this role will be expected to consistently demonstrate critical problem solving and analytical skills and a comprehensive understanding of FINRA and SEC rules and regulations as it relates to the advertising and marketing of securities products.

Key Responsibilities of the Role: 
• Serve as a supervisory principal for the review and approval of marketing, advertising and other business communications;
• Determine how existing regulations apply to various categories of communications including but not limited to FA and institutional use only, public and internal communications;
• Ensure effective remediation of non-compliant situations;
• Implement and enhance compliance policies, procedures and processes to promote a compliant work environment;
• Design and deliver training to internal constituents as needed;
• Build, maintain and manage strong relationships with internal clientele, external service providers, regulators and other partners; act as an effective and credible business partner;
• Be able and willing to articulate point of view and provide a compelling and inspiring rationale to persuade decision makers;
• Quickly synthesize complex information to distill critical issues and recommendations that consider risks, benefits and alternative perspectives;
• Manage a team of 3 compliance professionals

Qualifications

  • Bachelor’s degree required;
    • FINRA Series 24 required;
    • A minimum of five to ten years of broker-dealer regulatory experience required – 5 of which must be in the field of compliance marketing review;
    • Well versed in investment company securities products including open and closed-end mutual funds, ETFs and 529 college savings plans;
    • Prior experience reviewing and approving communications related to mutual funds and 529 college savings programs;
    • Strong knowledge of FINRA, SEC, and MSRB rules concerning advertising and communications with the public;
    • Experience in reviewing social media communications and knowledge of FINRA guidance related to the use of social media;
    • Strong research, analytical and practical problem solving skills;
    • Prior regulatory work experience (e.g. SEC, FINRA) a plus;
    • Prior management experience preferred

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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