Director, Corporate Compliance
About The Position
AssetMark is seeking a Director, Corporate Compliance to support the firm’s compliance program and manage compliance responsibilities for new product initiatives and enhancements, marketing programs, and other strategic growth initiatives. The role regularly engages with product and marketing teams, attends meetings, and advises on regulatory risk, performance requirements, and other compliance matters. It also oversees compliance responsibilities for advertising, social media, and third-party marketing reviews, manages junior advertising review staff, and helps ensure sales materials, client proposals, and marketing materials meet internal policies and regulatory requirements. The Director leads special projects and research for other compliance program matters and provides guidance to senior business leaders. The position 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 work schedule and be located near the Concord, California, or Charlotte, North Carolina, office.
Requirements
- At least 10 years of financial services experience, including direct experience with the Investment Advisers Act of 1940.
- Bachelor’s degree required.
- Solid understanding of investment advisory products and processes.
- Regulatory experience.
- Exceptional attention to detail.
- Leadership, presentation, and project management skills.
- Ability to interface effectively with management and team members.
- Strong verbal and written communication skills and strong 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 (PDF).
- 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, CA, or Charlotte, NC, office.
Nice To Haves
- Marketing and advertising review experience and solid knowledge of Advertising Rule 206(4)-1 are highly preferred.
- 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 and performance policies, and ensure related processes comply with requirements.
- Advise Marketing and other business leaders on advertising compliance 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 reviews 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 the compliance marketing review process through the marketing workflow system.
- Own and maintain the compliance marketing guide and related policies and procedures, developing or updating them as needed.
- 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 are up to date and reflect current operational practices.
- Assist in coordinating federal regulatory examinations and internal audits, and maintain productive relationships with internal 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 across AssetMark through clear communication, mutual respect, understanding, and shared objectives.
- Lead special projects and conduct research for other compliance program matters.
- Provide compliance guidance to senior business leaders as needed.
- Help ensure sales, 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 coverage, 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.
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What This Job Offers
Job Type
Full-time
Career Level
Director
