Vice President of Marketing Compliance

Vice President of Marketing Compliance

About the Company

A leading investment management firm recognized for excellence.

Industry

Financial Services

Type

Privately Held, Private Equity-backed

About the Role

We are seeking a driven and detail-oriented Vice President of Marketing Compliance to join our dynamic team. In this critical role, you will be pivotal in overseeing our global marketing and business development efforts, ensuring that all marketing materials—ranging from client communications to reports and social media—meet stringent regulatory standards and internal guidelines.

Your expertise will help shape clear, compliant, and effective marketing strategies while providing proactive and constructive guidance to business professionals. You will be tasked with staying abreast of changing industry and regulatory landscapes, assisting with the implementation of new compliance policies, and delivering training on compliance issues.

The ideal candidate will possess a wealth of experience in evaluating marketing materials for diverse asset classes and investment strategies, with a deep understanding of key regulations such as SEC Rule 206(4)-1, FINRA Rule 2210, and international regulations. Your role will involve reviewing complex presentations and ensuring adherence to compliant advertising and performance reporting practices.

If you are highly motivated, have a track record of maintaining regulatory knowledge, monitoring rule changes, and training on compliance matters, we'd love to hear from you!

Travel Percent

Less than 10%

Functions

• Marketing