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AVP, Marketing Compliance

2 months ago

new york city, United States Brookfield Full time

Brookfield Asset Management

Brookfield Asset Management is a leading global alternative asset manager with over US$1 trillion of assets under management across real estate, infrastructure, renewable power and transition, private equity and credit. Brookfield owns and operates long-life assets and businesses, many of which form the backbone of the global economy. Utilizing its global reach, access to large-scale capital and operational expertise, Brookfield offers a range of alternative investment products to investors around the world—including public and private pension plans, endowments and foundations, sovereign wealth funds, financial institutions, insurance companies and private wealth investors. Brookfield Asset Management Ltd. (BAM) is a public company listed on the New York (NYSE: BAM) and Toronto (TSX: BAM) stock exchanges. Brookfield Corporation is a public company listed on the New York (NYSE: BN) and Toronto (TSX: BN) stock exchanges.


Brookfield Oaktree Wealth Solutions

Brookfield Asset Management, a leading global alternative asset manager, has an exemplary 100+ year history of owning and operating real assets and related businesses. In 2019, Brookfield acquired a majority interest in Oaktree Capital, a leader among global investment managers specializing in credit and other alternative investments. Together, Brookfield and Oaktree share a long-term, value-driven, contrarian investment style, focusing on sectors in which their in-depth operating experience and market knowledge provide a competitive advantage.

Brookfield Oaktree Wealth Solutions is a dedicated business delivering the unparalleled alternative investment expertise of Brookfield and Oaktree to private wealth investors, in partnership with their financial advisors. The business unit is dedicated to effectively supporting the financial intermediary community and bringing timely & unique solutions to market with the individual investor in mind


Brookfield Culture

Brookfield has a unique and dynamic culture. We seek team members who have a long-term focus and whose values align with our Attributes of a Brookfield Leader: Entrepreneurial, Collaborative and Disciplined. Brookfield is committed to the development of our people through challenging work assignments and exposure to diverse businesses.


Location: New York City


The Position: Marketing Compliance Consultant


The Firm is seeking to add a Compliance resource to the BOWS Legal and Regulatory Team in its New York office. The position offers a great opportunity for an individual with a “hands-on” approach to become an integral part of the BOWS Legal and Regulatory Team. The candidate will be responsible for supporting the compliance program focused on the marketing and wholesale distribution of our products on a global basis.The role will have responsibility for a range of work, including key responsibilities of a broker dealer. The candidate will collaborate with legal and regulatory personnel at BOWS and across the broader Brookfield and Oaktree Legal and Regulatory organizations.



Key Responsibilities

  • Review advertising material and implement processes related to marketing and distribution activity for a global organization
  • Review corporate and social media materials, posts and activity
  • Work closely with US and international sales teams to provide compliance guidance and implement policies and procedures
  • Develop informational tools and training materials related to compliance policies and regulatory requirements


Candidate Qualifications and Requirements


  • Ability to prioritize workload and adhere to time sensitive deadlines
  • Excellent project management and organizational skills
  • Maintain and update policies and procedures as needed
  • Strong knowledge of SEC and FINRA marketing and advertising rules and best practices
  • Minimum of 7 years of industry experience, including compliance experience relating to applicable rules and regulations, and review of private and registered fund marketing material.
  • FINRA Series 7 and 24 required.
  • Bachelor’s degree
  • Candidate ideally functioning currently as a compliance officer and be accustomed to working independently.
  • Candidate must be able to work well in a team structure involving both business and support functions
  • Experience dealing with regulatory changes and policy implementations relating to such changes.
  • Demonstrated analytical ability, strong written and oral communication skills.
  • Excellent interpersonal skills; ability to interact with all levels of staff including senior management