VP Compliance Marketing Review

AQR • Greenwich, CT

186d • $150,000 - $175,000

About The Position

AQR is a global investment management firm built at the intersection of financial theory and practical application. We strive to deliver superior, long-term results for our clients by looking past market noise to identify and isolate what matters most, and by developing ideas that stand up to rigorous testing. Our focus on practical insights and analysis has made us leaders in alternative and traditional strategies since 1998. At AQR, our employees share a common spirit of academic excellence, intellectual honesty and an unwavering commitment to seeking the truth. We’re determined to know what makes financial markets tick – and we’ll ask every question and challenge every assumption. We recognize and respect the power of collaboration, and we believe transparency and openness to new ideas leads to innovation.

Requirements

• Bachelor's degree
• 6-8 years minimum experience reviewing marketing material, preferably with an investment adviser or broker-dealer
• Series 7 and 24 licenses required
• Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules, regulations, and interpretive guidance
• Well organized, strong communication skills, detail-oriented and responsive
• Ability to provide accurate, direct and practical advice in a timely fashion
• Proactive time management skills and the ability to manage projects independently
• Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment

Responsibilities

• Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes, and social media content.
• Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm policies.
• Apply expertise in the review of complex presentations, including hypothetical and back-tested performance, reviewing for regulatory compliance.
• Provide proactive, clear, and solution-oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices.
• Interpret and communicate about relevant regulatory rules and developments, translating them into actionable compliance and business guidance.
• Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant rulemaking initiatives, risk alerts and other regulatory matters.
• Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures.
• Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.

Benefits

• Comprehensive package of benefits including paid time off
• Medical/dental/vision insurance
• 401(k)
• Annual discretionary bonus

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Bachelor's degree
• Number of Employees: 501-1,000 employees