Asset & Wealth Management - Vice President Marketing Supervisory Manager - New York, NY
About The Position
As a Marketing Supervisory Manager within Asset & Wealth Management, you will provide informed, meaningful and constructive guidance on regulatory matters in the review and approval of marketing, advertising, social media and other internal and external communications. You will help ensure regulatory and the firm's procedures are met and will be involved in the enhancement and on-going implementation of marketing review applications aimed at efficiency, accuracy and record retention. In this role you will have the opportunity to foster a deep partnership with the alternative investments team and the review of internal and external materials, including presentations for new launches, to help minimize exposure and risk to the firm as it seeks to build their business. You will have responsibilities across multiple lines of business and regions.
Requirements
- 10+ years consumer regulatory compliance, supervision, controls, risk or audit experience
- Minimum licensing requirement: FINRA Series 7 and Series 24
- Strong attention to detail
- Strong background in alternative investments and marketing review
- Familiarity with SEC and FINRA regulations on marketing
- Financial services experience including a working knowledge of marketing and advertising practices and related operations
- Excellent decision maker with ability to manage multiple tasks
- Ability to work in close partnership with colleagues in Compliance, Legal, Risk, Controls and the business as a team player
- Proven analytical skills
- Demonstrated interpersonal, communication and resource management skills
- Proficiency in Microsoft Word, PowerPoint and Excel
Nice To Haves
- Bachelor's Degree preferred in a business-related discipline; MBA/JD is preferred
- Additional FINRA Series 66 (63/65), 9/10 (4,24,53) preferred
Responsibilities
- Collaborate with Compliance and Legal teams in order to help ensure adherence to SEC, FINRA and firm regulations and guidelines
- Attend alternative investments team meetings to foster relationships and track product launches in the pipeline
- Apply supervisory experience to consult/advise the business on marketing strategy and campaign development as applicable
- Assist in developing and delivering training to marketing team members, advising them of policy and regulatory guidelines
- Assist with the review of content posted on the inter/intranet sites and work with the business to help ensure content is accurate and relevant
- Attend meetings with the Business, Controls, Legal, Media Relations, Tax Department, Government Relations and other stakeholders as needed
- Attend local Wealth Management Supervisor Manager and global Supervisory Manager calls as needed to help ensure understanding of pertinent changes to policy and the exchange of best practices. Develop and maintain effective relationships with areas across the Supervisory Organization.
- Attend live client calls and filmed webcasts to help ensure compliance with rules, regulations and polices
- Work with Technology partners and MRC team to help identify, communicate, and implement enhancements to the automated marketing review application
- Solicit feedback from clients and peers in an effort to improve overall Communications Review function
- Undertake special supervisory-related projects as needed to assist in further strengthening the Capital Markets Solutions team
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Industry
Credit Intermediation and Related Activities
Number of Employees
5,001-10,000 employees
