Robert Walters
Overview
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VP, Compliance Marketing Review
role at
Robert Walters . Our client is seeking a Vice President for Compliance Marketing Review to join their team. You will be immersed in a culture that values academic excellence, intellectual honesty, and open collaboration, working alongside knowledgeable professionals who are committed to transparency and continuous learning. The position offers significant exposure to a wide array of investment strategies and product vehicles, as well as the chance to interact with senior stakeholders across the business. Responsibilities and requirements below reflect the original role description without extraneous content from the broader page. Responsibilities
Conduct thorough and timely reviews of diverse marketing materials such as client reports, research papers, webisodes, social media content, and other client-facing documents to ensure compliance with global regulations and internal policies. Assess materials spanning multiple asset classes and investment strategies for adherence to applicable regulatory frameworks. Apply expertise in evaluating complex presentations involving hypothetical or back-tested performance data for regulatory compliance. Provide clear, proactive, and solution-oriented guidance to business development and investment professionals on compliant advertising practices and accurate performance reporting. Interpret evolving regulatory rules and developments, translating them into actionable compliance advice for various teams within the organization. Maintain up-to-date industry knowledge by monitoring rulemaking initiatives, risk alerts, and other regulatory matters relevant to marketing compliance. Assist in implementing new policies and procedures while updating existing ones to reflect current best practices and regulatory changes. Deliver training sessions and create informational tools for staff on compliance policies, procedures, and regulatory requirements. Collaborate closely with colleagues across departments to foster a culture of compliance awareness throughout the organization. Support the team by occasionally working outside regular business hours as needed, including monitoring communications during evenings or weekends. Qualifications
Bachelor’s degree required with a minimum of 6-8 years’ experience reviewing marketing material within an investment adviser or broker-dealer setting. Possession of Series 7 and 24 licenses is mandatory for this role due to its regulatory focus. Comprehensive understanding of SEC Rule 206(4)-1 under the Investment Advisers Act, SEC Marketing Rule, FINRA Rule 2210, as well as familiarity with non-US regulatory frameworks. Exceptional organizational skills with strong written and verbal communication abilities. Demonstrated ability to provide accurate advice promptly while managing multiple projects under tight deadlines. Proactive time management and the ability to work independently while collaborating with teams. Experience delivering training or creating educational resources related to compliance topics is desirable. Ability to interpret new regulations quickly and translate them into actionable guidance for diverse audiences within the firm. A commitment to ongoing professional development and keeping up-to-date industry knowledge. Willingness to work flexibly outside standard business hours when required by project demands or urgent compliance matters. What Sets This Company Apart
This organization stands out as a leader in global investment management with a commitment to academic rigor, intellectual honesty, and transparent collaboration. What’s Next
If interested in this position, please contact Daniela Garcia at Daniela.Garcia@robertwalters.com
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Join to apply for the
VP, Compliance Marketing Review
role at
Robert Walters . Our client is seeking a Vice President for Compliance Marketing Review to join their team. You will be immersed in a culture that values academic excellence, intellectual honesty, and open collaboration, working alongside knowledgeable professionals who are committed to transparency and continuous learning. The position offers significant exposure to a wide array of investment strategies and product vehicles, as well as the chance to interact with senior stakeholders across the business. Responsibilities and requirements below reflect the original role description without extraneous content from the broader page. Responsibilities
Conduct thorough and timely reviews of diverse marketing materials such as client reports, research papers, webisodes, social media content, and other client-facing documents to ensure compliance with global regulations and internal policies. Assess materials spanning multiple asset classes and investment strategies for adherence to applicable regulatory frameworks. Apply expertise in evaluating complex presentations involving hypothetical or back-tested performance data for regulatory compliance. Provide clear, proactive, and solution-oriented guidance to business development and investment professionals on compliant advertising practices and accurate performance reporting. Interpret evolving regulatory rules and developments, translating them into actionable compliance advice for various teams within the organization. Maintain up-to-date industry knowledge by monitoring rulemaking initiatives, risk alerts, and other regulatory matters relevant to marketing compliance. Assist in implementing new policies and procedures while updating existing ones to reflect current best practices and regulatory changes. Deliver training sessions and create informational tools for staff on compliance policies, procedures, and regulatory requirements. Collaborate closely with colleagues across departments to foster a culture of compliance awareness throughout the organization. Support the team by occasionally working outside regular business hours as needed, including monitoring communications during evenings or weekends. Qualifications
Bachelor’s degree required with a minimum of 6-8 years’ experience reviewing marketing material within an investment adviser or broker-dealer setting. Possession of Series 7 and 24 licenses is mandatory for this role due to its regulatory focus. Comprehensive understanding of SEC Rule 206(4)-1 under the Investment Advisers Act, SEC Marketing Rule, FINRA Rule 2210, as well as familiarity with non-US regulatory frameworks. Exceptional organizational skills with strong written and verbal communication abilities. Demonstrated ability to provide accurate advice promptly while managing multiple projects under tight deadlines. Proactive time management and the ability to work independently while collaborating with teams. Experience delivering training or creating educational resources related to compliance topics is desirable. Ability to interpret new regulations quickly and translate them into actionable guidance for diverse audiences within the firm. A commitment to ongoing professional development and keeping up-to-date industry knowledge. Willingness to work flexibly outside standard business hours when required by project demands or urgent compliance matters. What Sets This Company Apart
This organization stands out as a leader in global investment management with a commitment to academic rigor, intellectual honesty, and transparent collaboration. What’s Next
If interested in this position, please contact Daniela Garcia at Daniela.Garcia@robertwalters.com
#J-18808-Ljbffr