Director, Corporate Compliance

AssetMark Financial Holdings • Concord, CA

6d • Hybrid

About The Position

AssetMark is a strategic provider of investment and consulting solutions for independent financial advisors. The Director, Corporate Compliance supports the firm’s compliance program and manages compliance responsibilities for new product initiatives and enhancements, marketing programs, and other strategic initiatives intended to drive firm growth. The role partners frequently with product, marketing, investment, reporting, sales, Legal, and senior business leaders, providing guidance on regulatory risk, performance requirements, advertising, social media, and third-party marketing reviews.

The Director manages junior advertising review staff and helps ensure sales materials, client proposals, and marketing materials comply with internal policies and regulatory requirements. The position also leads special projects, conducts research on compliance matters, contributes to training programs, and supports regulatory examinations and internal audits. It reports directly to the VP, Corporate Compliance and meets frequently with the Investment Advisor Chief Compliance Officer and other senior Compliance and Legal leaders.

Candidates must be able to accommodate a hybrid schedule and be close to AssetMark’s Concord, California, or Charlotte, North Carolina, offices. The base salary range is $140,000–$156,000 for Concord or $120,000–$134,500 for Charlotte. The position is also eligible for additional variable incentive compensation and competitive benefits. Candidates must be legally authorized to work in the United States; visa sponsorship is not available.

Requirements

• At least 10 years of financial services experience, including direct experience with the Investment Advisers Act of 1940.
• Bachelor’s degree.
• Exceptional attention to detail.
• Leadership, presentation, and project management skills.
• Ability to interface effectively with management and team members.
• Strong verbal and written communication and interpersonal skills.
• Ability to prioritize competing tasks and responsibilities.
• Ability to drive results comprehensively while taking time constraints into account.
• Demonstrated success working within processes, procedures, and systems that optimize compliance and business results.
• Highly analytical, organized, detail-oriented, and self-motivated, with the ability to monitor and complete multiple projects simultaneously.
• Advanced knowledge of Microsoft Office (Word, Excel, PowerPoint, and Outlook) and Adobe Acrobat Pro.
• Dependable, motivated, able to work under minimal supervision, and able to meet demanding deadlines.
• Legally authorized to work in the United States; visa sponsorship is not available.
• Able to accommodate a hybrid work schedule and be close to the Concord, California, or Charlotte, North Carolina, office.

Nice To Haves

• Marketing and advertising review experience and solid knowledge of Advertising Rule 206(4)-1 are highly preferred.
• Regulatory experience.
• Audit experience is a plus.

Responsibilities

• Enhance the compliance program and policies related to platform product oversight.
• Identify risks in the product creation process and initiate controls.
• Develop, perform, and assist with testing related to marketing and product initiatives, performance policies, and compliance of related processes.
• Advise Marketing and other business leaders on advertising requirements.
• Manage junior marketing review staff.
• Serve as the lead compliance liaison with marketing and product development teams.
• Act as a subject matter expert on marketing and advertising material review under Rule 206(4)-1 of the Investment Advisers Act of 1940, Rule 482 of the Securities Act of 1933, and relevant FINRA advertising rules.
• Own compliance marketing review through the marketing workflow system.
• Own and update the compliance marketing guide and related policies and procedures.
• Develop disclosures for marketing and advertising as needed.
• Collaborate with investment and reporting teams on performance-related matters.
• Review certain Adviser policies and procedures and ensure they remain current and reflect operational practices.
• Assist in coordinating federal regulatory examinations and internal audits, maintaining productive relationships with auditors and regulators.
• Contribute to the development and implementation of internal training programs for the firm’s investment adviser and broker-dealer.
• Work closely with Legal and follow through on compliance-related issues.
• Establish constructive working relationships within AssetMark through clear communication, mutual respect, understanding, and shared objectives.
• Lead special projects, conduct research on compliance program matters, and provide compliance guidance to senior business leaders as needed.
• Help ensure sales materials, client proposals, and marketing materials comply with internal policies and regulatory requirements.

Benefits

• Flex time or paid time off and sick time off.
• 401(k) with a 6% employer match.
• Medical, dental, and vision insurance, with HDHP or PPO options.
• Employer HSA contribution for HDHP participants.
• Volunteer time off.
• Career development and recognition.
• Fitness reimbursement.
• Hybrid work schedule.
• Additional variable incentive compensation.

What This Job Offers

• Job Type: Full-time
• Career Level: Director