New job Compliance Manager – Public Communications & Social Media New York

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Compliance Manager – Public Communications & Social Media New York Gerald Elliott posted a job: Compliance Manager – Public Communications & Social Media New York "Our client is a highly prestigious, privately owned financial firm and they seek a Compliance Manager -- Public Communications & Social Media to manage a team responsible for reviewing firm communications with the public, including Requests for Proposals (“RFPs”), sales materials, advertising, web postings, etc., in addition to various forms of social media. This Compliance Manager will be a member of the Compliance Department and will help to ensure compliance with various federal, state & FINRA regulatory requirements. They should have a strong grasp of securities laws and regulations and experience managing multiple business owners/review deadlines and personnel. The Compliance Manager will be responsible for the following: * Maintenance and oversight of the review and approval process, as well as technology related to such review; * Updating and drafting the firm’s policies and procedures on marketing review; * Serving as a lead participant in the initiative to develop social media tools and helping to implement the strategic direction the firm decides to take; * Reviewing and assisting in the securities-related RFP process and working closely with Relationship Managers and Portfolio Managers to complete such RFPs under sometimes challenging time pressures; * Serving on the Global Investment Performance Standards (“GIPS”) committee and assisting with GIPS review and other GIPS compliance issues; * Training business owners and personnel on the advertising review process, as well as new rules and regulations affecting review of firm materials; * Acting in an advisory capacity in relation to communication issues with the lines of business; and * Coordinating with Compliance Officers in the firm’s offices in Boston, Asia and Europe. ESSENTIAL FUNCTIONS : * Review of Public Communications * Firm-wide materials need to be reviewed for compliance with securities laws, rules and regulations. Submission to regulators and coordination with global compliance officers if necessary * Draft, update and maintain policies * Draft policies and procedures relating to communications with the public, advertising review and social media * Lead participant in social media initiative * Support the firm’s growing initiatives to utilize social media QUALIFICATIONS: * JD and BA Degree strongly preferred * Excellent communications skills and experience in order to work effectively with business partners Other requirements : * Series 7 and 24 required * Compliance experience 5-10+ years minimum preferred – familiarity with advertising requirements for marketing mutual funds, broker dealer, private (unregistered funds), investment advisory and custody services. To apply please submit your resume to Info@compliancesearch.com"

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