Manager, Compliance
About The Position
You are eager to join a dynamic team to help manage the compliance function at one of the most innovative registered investment advisers and broker-dealers. You’re thorough, always ask questions, and are detail oriented. You thrive in a fast paced environment, are able to prioritize, and have an eye towards continuous improvement. You have significant experience with SEC and FINRA marketing rules and have expertise in marketing review. You have strong management skills and are ready to manage a team of two. You think outside the box and find working across the business to find solutions fun! You are ready to roll up your sleeves and get to work in an exciting work environment! This role is based out of our NYC office.
Requirements
- Expertise in SEC Rule 206(4)-1 and and FINRA Rule 2210, including rules related to testimonials/endorsements and performance marketing.
- Ability to organize and prioritize workflow and assignments in a deadline-oriented environment
- Ability to multi-task and work within tight deadlines
- Management experience
- A meticulous attention to detail
- Desire to work in a fast paced and changing environment
- Excellent communication and organizational skills
- Ability to work well across various business units
- Strong intellectual curiosity
- Series 24 required (or must obtain)
Responsibilities
- Manage and develop two (2) direct reports, conducting daily marketing review and other program tasks
- Manage and oversee the daily review of marketing materials and social media related to investment advisory and broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
- Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
- Identify marketing program enhancements
- Review marketing-related vendors including promoters and influencers as part of our third party risk management program
- Execute the Compliance program for his or her area of responsibility, including promulgating policies and procedures, conducting monitoring, testing, and assessments, and providing training
- And, so much more!
Benefits
- We offer a competitive equity package, health, dental and vision benefits, and a 401(k) offering with employer match as well as flexible PTO policy.
- This job is eligible for variable compensation in the form of a discretionary company incentive bonus.
- A competitive suite of benefits, including: medical, dental, and vision insurance; life and AD&D insurance; STD and LTD benefits, including infertility support and World Professional Association for Transgender Health approved benefits; and generous parental leave.
- Flexible paid time off (and encouragement to use it!)
- Meaningful opportunity for community building through our 7 Employee Resource Groups
- Empowerment to own and lead change and affect the business
- Dedicated professional development opportunities
- Lunch from our in-house chef at our NYC headquarters
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
