Vice President Marketing Compliance

Vice President Marketing Compliance About the Company Globally-recognized asset management firm

Industry
Financial Services

Type
Privately Held

Founded
1978


Employees
1001-5000



Categories Financial ServicesConsulting & Professional ServicesBrokerageFinanceInvestment ServicesInvestment Management About the Role The Company is in search of a Vice President for its Distribution Compliance team. The successful candidate will be a key member of the Compliance organization, with a pivotal role in overseeing the distribution and sales practices-related control environment. This includes designing compliance advisory reviews, monitoring the global regulatory environment for new rules, and ensuring the business is in line with technical compliance matters. The role also involves supervising the design and delivery of compliance training, updating policies and procedures, and maintaining relationships with regulators and internal business partners.

The ideal candidate will have a strong knowledge of the US regulatory framework, 5 - 7 years' of relevant experience, and preferred FINRA licenses. Candidates for this role at the company should be proactive, dynamic, and have a proven ability to lead and mentor a team. High levels of drive, focus, and enthusiasm for working in an international compliance program are essential. The role requires a candidate with excellent communication skills, the ability to prioritize tasks, and a talent for solving complex compliance issues in a fast-paced environment. A strong educational background, including a JD or other advanced degree, is preferred, and a background in the asset management or broker/dealer industry is a must. The company values diversity, innovation, and a data-driven, team player mentality.

Hiring Manager Title
Chief Compliance Officer



Travel Percent
Less than 10%

Functions MarketingLegal