Confidential
Associate Vice President, Marketing and Distribution Compliance
Confidential, Newark, New Jersey, us, 07101
Associate Vice President, Marketing and Distribution Compliance
About the Company
Accomplished global investment management firm
Industry Financial Services
Type Public Company
About the Role
The Company is in search of an Associate Vice President for their Marketing and Distribution Compliance team. The successful candidate will be responsible for ensuring that all marketing materials, investor communications, and related documents adhere to legal, regulatory, and compliance standards. This includes supervising and training staff in marketing compliance reviews, managing the legal and compliance relationship with various business lines, and developing internal policies and procedures. The role also involves attending client meetings to address product-related questions and serving as the primary legal and compliance counsel for existing investors' requests.
Applicants must have a minimum of 5 years' experience in a law firm and/or investment management firm, with a strong preference for those with a background in compliance and a J.D. Understanding of the Advisers Act and FINRA regulations is highly valued, and knowledge of hedge funds and drawdown funds is a plus. The ideal candidate will possess strong attention to detail, analytical skills, project management abilities, and the capacity to handle multiple demands. Effective communication, both oral and written, is essential, as is the ability to work independently and as part of a team. Proactive time management, substantial initiative, creativity, and drive are also key attributes for this role.
Travel Percent Less than 10%
Functions
Marketing
About the Company
Accomplished global investment management firm
Industry Financial Services
Type Public Company
About the Role
The Company is in search of an Associate Vice President for their Marketing and Distribution Compliance team. The successful candidate will be responsible for ensuring that all marketing materials, investor communications, and related documents adhere to legal, regulatory, and compliance standards. This includes supervising and training staff in marketing compliance reviews, managing the legal and compliance relationship with various business lines, and developing internal policies and procedures. The role also involves attending client meetings to address product-related questions and serving as the primary legal and compliance counsel for existing investors' requests.
Applicants must have a minimum of 5 years' experience in a law firm and/or investment management firm, with a strong preference for those with a background in compliance and a J.D. Understanding of the Advisers Act and FINRA regulations is highly valued, and knowledge of hedge funds and drawdown funds is a plus. The ideal candidate will possess strong attention to detail, analytical skills, project management abilities, and the capacity to handle multiple demands. Effective communication, both oral and written, is essential, as is the ability to work independently and as part of a team. Proactive time management, substantial initiative, creativity, and drive are also key attributes for this role.
Travel Percent Less than 10%
Functions
Marketing