Marketing Compliance Role - Investment Banking Firm

PFB JD.

In this role, you will:

- Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements

- Oversee the Front Line's execution and challenges appropriately on compliance related decisions

- Provide oversight and monitoring of risk-based compliance programs

- Develop and oversee standards

- Provide subject matter expertise with comprehensive knowledge of business and functional area

- Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area

- Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management

- Provide direction to the business on developing corrective action plans and effectively managing regulatory change

- Provide compliance risk expertise

- Consult for projects and initiatives with moderate risk for a business line

- Identify and recommend opportunities for process improvement and risk control development

- Provide direction to the business on developing corrective action plans and effectively managing regulatory change

- Report findings and make recommendations to management appropriate committees

- Interpret policies, procedures, and compliance requirements

- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

- Work with complex business units, rules and regulations on moderate risk compliance matters

- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications, US:

- 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Required Qualifications, International:

- Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

- Knowledge of FINRA, SEC & OCC (RSNIP) advertising rules.

- FINRA Series 24 or 9/10 exam to qualify for immediate registration (or FINRA recognized equivalents) preferred

- 2 + years' experience in reviewing advertising/promotional material.

- Excellent writing and editorial skills.

- Solid knowledge of products offered through Broker Dealers, RIA's and/or Bank Trust Departments

- Proven ability to understand and communicate effectively about technical, complex compliance standards and policies.

- Strong administrative and organizational skills in a deadline-driven environment.

- Ability to work independently and also as part of a high-functioning, collaborative team of professionals, including the ability to form relationships at all levels of the organization.

- Strong ability to prioritize and handle multiple tasks and to be detail oriented in a fast-paced, deadline driven environment.

- Knowledge of emerging communications technology, both for working with colleagues, and for assessing the use of marketing content in emerging communications channels, including social media

Job Expectations:

- This candidate will review, analyze and approve marketing and promotional communications with the public, as well as certain internal communications, to ensure compliance with regulatory requirements, internal guidelines and other risk related issues. An applicant should have deep product expertise, along with knowledge of the relevant regulations needed to review a variety of material which could include, but is not limited to; product fact sheets, general market letters, seminar invitations and web content.

- As a member of the Compliance team, this individual will be responsible for review of traditional advertising, marketing and promotional literature, as well as electronic communications and social media.

- Daily review of promotional material, diplomatically communicate required edits, explain the regulatory basis for the changes and be creative in suggesting alternatives to any problematic language. Work with assigned business units to help them produce strong, effective and compliant communications. Assist with the processing of heavy workflow of communications for the firm's broker/dealer and investment advisory business.

- Proactively stay current with applicable securities laws, rules, and regulations with respect to the regulation of financial product advertising and marketing

- Perform special projects and other duties as assigned.