VP Marketing Compliance Officer

Base pay range: $150,000.00 / yr - $175,000.00 / yr Senior Legal & Compliance Researcher @ Partnership Employment Asset Management seeking to onboard a VP Marketing Compliance Officer Responsibilities Conduct in-depth and timely evaluations of diverse content types, such as promotional materials, client updates, research documents, multimedia segments, and social media posts. Review content spanning multiple investment strategies and asset classes to ensure alignment with global regulatory standards (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, and international compliance frameworks) and internal policy. Leverage knowledge in analyzing complex materialsparticularly those involving simulated or back-tested performanceto ensure they meet regulatory standards. Offer clear, practical, and forward-thinking compliance advice to teams involved in marketing and investment, focusing on promotional practices and performance disclosures. Interpret evolving regulatory standards and translate them into applicable guidance and best practices for the business. Stay current with developments in the regulatory space, including reviewing proposed rules, alerts, and related updates, and provide informed commentary as needed. Contribute to the creation and refinement of internal policies and protocols in response to new regulations or business needs. Deliver training and educational resources to staff on compliance topics, including internal guidelines and external regulatory obligations.

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Finance, Analyst, and Other

Industries

Financial Services, Banking, and Investment Banking

New York City Metropolitan Area #J-18808-Ljbffr