AVP, Principal Compliance Advisor – Marketing Review in Chicago, Illinois at AccruePartners

Date Posted: 10/24/2019

Job Snapshot

Job Description

THE TEAM YOU WILL BE JOINING:

  • A division of a Fortune 100 Financial Services Company
  • Investment banking company specializing in the underwriting & distribution of municipal bonds; actively remains in municipal bond market
  • A pioneer in responsible investment: incorporating governance, social, and environmental criteria in investment decisions
  • Leader in retail mutual and closed-end fund who manages over $900 billion in assets

WHAT THEY OFFER YOU:

  • Culture: Excellent work environment that fosters collaboration
  • Growth: Ability to make an impact on the direction of the organization
  • Opportunity: Broaden experience & understanding of outcome-based investment solutions
  • Stability: Chance to work with a stable, fast growing, and successful company

WHERE THE POSITION IS LOCATED:

  • Charlotte, NC
  • Chicago, IL

WHY THIS ROLE IS IMPORTANT:

  • Serve as a member of the Marketing Review Compliance (“MRC”) team that provides advice and guidance regarding the applicability of regulatory requirements, internal review standards, and disclosure guidelines when reviewing and documenting the approval of marketing materials.
  • Review marketing materials for key areas supported for compliance with rules, regulations, and firm policies and procedures, cross-border restrictions, copyright and other regulatory or reputational risks to the firm. 
  • Work closely with other departments, such as Broker Dealer Compliance, International Compliance, and Legal, and as such this seasoned individual will serve as a key strategic partner to collaborate on broader issues relative to the support of the firm’s marketing activities.
  • Review materials with limited supervision and ability to identify potential issues as part of that review and coordinate effectively with key stakeholders, such as working with professionals from non-U.S. offices, on those issues in order to come to a consensus on positioning and creation of appropriate guardrails where needed.
  • Develop and communicate recommendations that support adherence to regulations, industry best practices and inform marketing personnel of any changes in regulatory requirements relating to marketing materials and provide oversight in implementing those changes into appropriate collateral.
  • Maintain policies and procedures regarding marketing material content and review, such as various reference materials, and provide support to keep disclosure resources up to date, current and relevant.
  • Research complex issues and help define the actions necessary to resolve the situation and escalate appropriately to management where needed.
  • Assist with internal and external examinations and audits as well as program administration and review of other materials where needed.

THE BACKGROUND THAT FITS:

  • Bachelor’s degree and adequate experience in legal, compliance marketing review, advertising compliance, marketing compliance, and/or communication review experience
  • Series 7 and Series 24 securities registrations required or must be obtained within 12 months of employment.
  • Comfortable in a high performance, fast paced, high-pressure environment and have exceptional partnering skills as teamwork and collaboration are highly valued. 
  • Strong analytical skills and ability to formulate, develop and execute strategic initiatives will be critical for success.  The ideal candidate will have the ability to exercise sound judgement in decision making and problem-solving, being a forward thinker, able to anticipate problems and comfortable proposing recommendations on how to solve for them.
  • Must have exemplary written and oral communication skills, which translates the ability to interact effectively with business partners and colleagues. The ideal candidate must be able to articulate regulatory considerations and concerns, keeping abreast of regulatory developments surrounding marketing compliance and be able to nimbly respond to a rapidly changing and complex regulatory environment. 
  • Demonstrated knowledge of a broad range of financial products and related regulatory requirements. Familiarity with international regulatory considerations and best practices stemming from global marketing and distribution efforts is a plus.
  • Technologically adept and savvy, both in terms of Marketing’s use of technology and the deployment of leading technology in relation to compliance processes.