Description

This is a new role for our client, an experienced global corporate advisory and capital placement broker-dealer with representatives based throughout the US. Their mission is to expertly navigate the intricate landscape of LP investors, forging lasting partnerships between exceptional businesses and discerning investors. They do this through their commitment to excellence, integrity, personalized service, and team collaboration. 

Our client is expanding its team and capabilities to enable growth and provide premium service to its clients and investors. The firm is currently expanding its operations team to build out best-in-class processes and systems.

Our client is looking for an experienced Compliance professional at the AVP/VP level. 

Responsibilities include:

Working closely with the sales team to perform due diligence and ensure regulations are met on all marketing materials
Manage the status and inventory of all marketing materials, always ensuring the best and most appropriate option is available internally.
Be the point person within Marketing for internal and external audits
Prepare, develop & update all advertising-related procedures and training materials
Cross-border marketing oversight
Overseeing client reporting
Working closely with teams across the company, including product/structuring and compliance
Responsibility for the review and approval of regulatory filings
Overseeing broker-dealer regulatory requirements
Completing various project management duties as directed by the company roadmap
Serve as a Series 24 for our growing structuring team 
Working closely with our outsourced CCO

Requirements

8+ years of Marketing Compliance Experience
Series 7, 24, and 63 
A top institution's bachelor's degree in Finance / Economics is preferred.
Understanding of compliance issues related to marketing products and advisory services in the U.S. and non-U.S. jurisdictions
Strong Experience with review of marketing materials and due diligence
Knowledge of SEC and FINRA Advertising Compliance Guidelines and Securities Laws
Entrepreneurial spirit to help build out our Compliance function while the business expands
Excellent interpersonal, verbal, and written communication skills
Ability to work alongside other teams effectively. Experience working to tight deadlines
Growth mindset: someone who strives for continuous learning and finds ways to improve operations in the workplace continuously