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Head of Compliance and Marketing Oversight

2 months ago

New York, New York, United States Social Capital Resources Full time

Social Capital Resources is in search of a Compliance Director, specializing in Marketing Oversight.

Key Responsibilities:

  • Oversee the evaluation of marketing materials for both institutional and retail clients.
  • Monitor, assess, and enhance compliance frameworks for registered investment advisers, registered funds, and private investment vehicles.
  • Scrutinize requests for proposals, due diligence inquiries, and other client-related communications.
  • Examine marketing regulations and distribution policies, including recent regulatory changes, to determine their implications for the business.
  • Review and authorize marketing materials across various strategies and investment products, including registered funds and separately managed accounts.
  • Conduct compliance policy reviews, testing, and monitoring activities.
  • Implement necessary adjustments to compliance policies in response to testing outcomes or shifts in regulatory requirements, and provide training as needed.

Qualifications:

  • Possession of Series 7 and 24 FINRA licenses.
  • A Bachelor's degree is required.
  • Minimum of 7 years' experience in developing compliance programs for SEC Registered Investment Advisors or Broker Dealers.
  • At least 5 years of experience in marketing compliance reviews, with a focus on SEC Rule application.
  • Familiarity with compliance systems such as AdMaster and Global Relay is advantageous.
  • Strong communication skills, effective in both verbal and written formats.
  • Exceptional organizational abilities, with a keen eye for detail.
  • Proficient in MS Office applications, including Outlook, Word, Excel, and PowerPoint.