New job Head of Marketing Material Review Compliance New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Head of Marketing Material Review Compliance New York, NY Gerald Elliott posted a job: Head of Marketing Material Review Compliance New York, NY "Our client is a top-tier financial services firm seeking a Head of Marketing Material Review. This position can be either VP or Director level. The candidate will be responsible for all compliance coverage for the approval of marketing material and communications with the public, including market commentary. The individual filling the role will work with a team to review marketing material, presentations, and other client communications created by various constituents in the firm and ensure the material is compliant with both the Investment Advisors Act of 1940 and FINRA Communications guidelines. Additionally, this particular individual will be required to review and amended as necessary the current firm procedures for marketing to ensure they meet regulatory standards Specific responsibilities include: • Manage the supervisory review requirements for market material and other types of client communications generated by various firm personnel to ensure they are compliant with current requirements • Review the current work flow to ensure effectiveness as well as selecting a case management system to be used as a long-term solution to approving and storing documents • Maintain and update the firm’s Communications Policy as necessary • Communicate any regulatory updates or guidance to management as well as other firm personnel • Work with various partners in the organization including Marketing, Legal, Compliance, Management and Investment Representatives to appropriately review and approve marketing and other forms of communication Qualifications • Minimum of 5 years industry experience in reviewing and approving marketing material • Preferred FINRA Licenses: Series 7, 63/65 or 66, 8, 9, 24 • Solid knowledge of communications rules governed by the Advisors Act and FINRA • Must be organized, articulate and detailed oriented, and be able to multitask, prioritize and effectively interact with sales staff and other personnel Please submitt your resume at - info@compliancesearch.com"

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