Overview

A top global alternative investments firm seeks an Advertising, Marketing, Sales Literature Compliance Officer. There will also be other important responsibilities.

 

Summary

This position is responsible for compliance matters relating to the Relationship Management and Investor Relations teams. This role focuses primarily upon reviewing and approving a variety of marketing, communications, and related materials produced in support of the firm’s global asset management business, with a focus on the Illiquid Credit investment vertical. In addition, this role provides general compliance support related to the firm’s distribution and marketing efforts worldwide, as well as any other ad hoc projects.

 

Primary Functions And Essential Responsibilities

A key compliance contact and advisor for firm’s global business development activities, responsible for ensuring premier client service and professional relations between the firm’s Compliance department and the firm’s Relationship Management and Investor Relations groups:

 

  • As directed, review and analyze sales literature and marketing materials for various pooled vehicles, including unregistered funds, as well as separately managed accounts to assess compliance with any or all of SEC, FINRA, non-US, and internal policy, as required
  • Provide guidance and recommendations to business unit personnel to promote compliance
  • Provide compliance advice and guidance to the firm’s global investor relations team
  • Keep up-to-date on global regulations and regulatory environment in assigned area, and participate in training and education for other Compliance personnel as well as business unit personnel
  • Participate in Compliance Department initiatives and projects on an ad hoc basis

 

This person will work closely with the firm’s Legal Department to: determine application of and interpret relevant laws, regulations and rules; resolve issues; and help ensure consistent flow of information between Compliance and Legal.

 

QUALIFICATIONS

Education:

  • College degree
  • Series 7, 63, preferred

 

Experience Required:

  • 7-10 years of directly-relevant experience
  • Familiarity with institutional credit products
  • Familiarity with SEC regulatory review and interpretation of regulations
  • Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment
  • Organizational skills, demonstrated ability to manage competing priorities and lead projects to completion
  • Proven ability to communicate effectively with all levels of management, auditors and regulatory examiners
  • Experience with alternative credit-based strategies, specifically illiquid credit, a significant plus

 

GENERAL REQUIREMENTS:

Technical Skills

  • Understanding of investment adviser industry including the Investment Advisers Act and Investment Company Act
  • Understand of FINRA rules for Broker Dealers
  • Interpretation of Regulation
  • Working knowledge of alternative and structured finance
  • Awareness of how the business works globally
  • Risk Management
  • Change Management
  • Project Management

 

Soft Skills

  • Independent, creative problem-solver who enjoys building and managing new programs
  • Strong interpersonal, relationship-building and negotiation skills
  • Ability to influence others
  • Excellent verbal and written skills
  • Collaborative team player
  • Interdisciplinary problem solver and solution driver
  • Analytical judgment
  • Relationship builder
  • Comfortable with complexity
  • Adaptable

 

Reporting Relationships

  • Reports to: Head of Marketing and Distribution

Please send resumes to Jack Kelly at jack@compliancesearch.com.

Upload your CV/resume or any other relevant file. Max. file size: 50 MB.