Compliance Director

7 hours ago


New York, New York, United States Social Capital Resources Full time
Director of Compliance

Social Capital Resources is seeking a seasoned Director of Compliance to lead our marketing review efforts. As a key member of our team, you will be responsible for ensuring our marketing materials comply with regulatory requirements.

Key Responsibilities:

  • Review and approve institutional and retail marketing materials to ensure compliance with regulatory guidelines
  • Develop and implement compliance programs for registered advisers, registered funds, and private/non-listed investment products
  • Analyze marketing and distribution rules and regulations to assess commercial impact on our businesses
  • Conduct reviews, testing, and monitoring of compliance policies and procedures
  • Implement revisions to policies and procedures in response to testing results or changes in regulatory or company landscape

Qualifications:

  • Series 7 and 24 FINRA registrations
  • Bachelor's degree
  • 7+ years of experience implementing compliance programs for an SEC Registered Investment Advisor and/or Broker Dealer
  • 5+ years of experience performing marketing compliance reviews, preferably including 3 years of experience applying SEC Rule
  • Experience with AdMaster and Global Relay (or equivalent systems) a plus
  • Excellent communication, organizational, and computer skills

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