Vice President of Marketing Compliance

21 hours ago


Jersey City, New Jersey, United States $50B+ Alternative Asset Manager Full time
Marketing Compliance Expert Wanted

We are a leading $50B+ Alternative Asset Manager seeking a seasoned Marketing Compliance expert to join our team.

Key Responsibilities:

  • Review and approve marketing materials, including RFPs, DDQs, and sales collateral, to ensure compliance with regulatory requirements.
  • Collaborate with sales teams to ensure marketing materials align with compliance policies and procedures.
  • Develop and deliver training programs to sales teams on compliance policies and regulatory requirements.
  • Monitor and review corporate and social media content for compliance with regulatory guidelines.

Requirements:

  • 7+ years of experience in marketing review compliance for investment advisors.
  • FINRA Series 7 and 24 licenses required.

Join our team of professionals and contribute to our commitment to excellence in marketing compliance.



  • Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corp Full time

    Job Title: Vice President, Trade Surveillance ComplianceSumitomo Mitsui Banking Corp. is seeking a highly skilled and experienced professional to join our team as a Vice President, Trade Surveillance Compliance. In this role, you will be responsible for monitoring and analyzing trade surveillance data to identify potential market abuse and other compliance...


  • Jersey City, New Jersey, United States SMBC Full time

    Job Title: Vice President, Trade Surveillance ComplianceAt SMBC, we are seeking a highly skilled and experienced Vice President, Trade Surveillance Compliance to join our team. As a key member of our Compliance Department, you will be responsible for monitoring and analyzing trade surveillance data to identify potential market abuse and other compliance...


  • Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corp Full time

    Job Title: Vice President, FXSumitomo Mitsui Banking Corp. is seeking a highly skilled and experienced Vice President, FX to join our team. As a key member of our Compliance Department, you will be responsible for monitoring and reporting on compliance risks and issues related to FX and fixed income activities.Key Responsibilities:Review and follow up on...


  • Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corp Full time

    Job Title: Vice President, FXSumitomo Mitsui Banking Corp. is seeking an experienced Vice President to join our FX team. As a key member of our compliance department, you will be responsible for monitoring and reporting on compliance risks and issues related to FX and fixed income activities.Key Responsibilities:Review and follow up on trade surveillance...


  • Jersey City, New Jersey, United States Sumitomo Mitsui Financial Group, Inc. Full time

    Job Title: Vice President, FXSumitomo Mitsui Financial Group, Inc. is seeking a highly skilled and experienced professional to join our team as a Vice President, FX. As a key member of our FX Compliance Department, you will be responsible for monitoring and reporting on compliance risks and issues related to our corporate banking, investment banking, and...


  • Jersey City, New Jersey, United States Goldman Sachs Full time

    Job Title: Risk Governance Vice PresidentJoin Goldman Sachs as a Risk Governance Vice President and play a critical role in ensuring the firm's financial control and reporting obligations are met. As a key member of the Controllers Risk Governance Office (CRGO), you will be responsible for identifying, measuring, and mitigating firmwide financial reporting...


  • Jersey City, New Jersey, United States $50B+ Alternative Asset Manager Full time

    {"h1": "Marketing Compliance Expert Wanted", "p": "A leading global alternative asset manager seeks a seasoned Marketing Compliance professional to join their team in Jersey City, NJ.", "ul": [{"li": "Review and approve marketing materials, including RFPs, DDQs, and sales collateral"}, {"li": "Collaborate with sales teams to ensure compliance with regulatory...


  • Jersey City, New Jersey, United States FMR LLC dba Fidelity Investments Full time

    Job Title: Vice President, IT Product ManagementAt FMR LLC d/b/a Fidelity Investments, we are seeking a highly skilled Vice President, IT Product Management to lead our technology solutions delivery team. As a key member of our organization, you will be responsible for designing, developing, and maintaining dynamic software products that support our risk and...


  • Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corp Full time

    Sumitomo Mitsui Banking Corp is a premier global financial institution with a rich history spanning over 400 years. Headquartered in Tokyo, the organization provides a comprehensive suite of financial services, including banking, leasing, securities, credit cards, and consumer finance. With a presence in nearly 40 countries and a workforce exceeding 80,000...


  • Jersey City, New Jersey, United States The Bank of New York Mellon Full time

    Job Title: Vice President, Events and ExperiencesAt BNY Mellon, we're seeking a highly skilled and experienced professional to join our Marketing and Communications team as a Vice President, Events and Experiences. This role will be responsible for conceptualizing, developing, and implementing integrated event marketing strategies and experiential...


  • Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corporation (SMBC) Full time

    Job Title: Compliance Program Management Vice President - External Fraud Risk Assessment LeadSumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution with a rich history and diverse range of financial services. We are seeking a highly skilled Compliance Program Management Vice President to lead our External Fraud Risk Assessment...


  • Jersey City, New Jersey, United States Fidelity TalentSource LLC Full time

    Job Description:As a Vice President of IT Product Management, you will be responsible for designing, developing, and maintaining dynamic software products that support a risk and compliance platform. You will drive and manage application development technology teams to execute on specific software product features using technical project management tools,...


  • Jersey City, New Jersey, United States Bank of America N.A. Full time

    Position Overview:Bank of America N.A. is seeking a Vice President of Quantitative Finance to oversee model performance evaluation, continuous monitoring, and data integrity assessments. This role involves conducting in-depth analytical research on model outcomes and testing results, as well as assessing model efficacy.Key Responsibilities:- Execute...


  • Jersey City, New Jersey, United States Ashton Lane Group, Inc Full time

    Vice President of Fixed Income ValuationAshton Lane Group, Inc. is seeking a Vice President of Fixed Income Valuation to oversee the valuation and pricing of Fixed Income products. This role will focus on credit, rates, and LATAM markets, ensuring accurate and reliable valuations.Key Responsibilities:Execute Independent Price Verification (IPV) for Fixed...


  • Jersey City, New Jersey, United States Ashton Lane Group, Inc Full time

    Vice President of Fixed Income ValuationAshton Lane Group, Inc. is seeking a Vice President of Fixed Income Valuation to oversee the valuation and pricing of Fixed Income products, particularly in the areas of credit, rates, and Latin American markets.Key Responsibilities:Execute Independent Price Verification (IPV) for Fixed Income securitiesLead...


  • Jersey City, New Jersey, United States Sumitomo Mitsui Banking Corp Full time

    Job Title: Compliance Program Management Vice President - External Fraud Risk Assessment LeadSumitomo Mitsui Banking Corp. is seeking a highly skilled Compliance Program Management Vice President - External Fraud Risk Assessment Lead to join our team. As a key member of our Compliance Department, you will be responsible for establishing and enhancing...


  • Jersey City, New Jersey, United States Sumitomo Mitsui Financial Group, Inc. Full time

    Job Title:Compliance Program Management Vice President - External Fraud Risk Assessment LeadJob Summary:We are seeking a highly skilled Compliance Program Management Vice President to lead our External Fraud Risk Assessment efforts. The successful candidate will be responsible for establishing and enhancing Financial Crime Compliance Risk Assessments,...


  • Jersey City, New Jersey, United States JPMorganChase Full time

    Job Title: Tax Audit Controversy Vice PresidentWe are seeking a highly skilled Tax Audit Controversy Vice President to join our Corporate Tax Department at JPMorgan Chase. As a key member of our State and Local Tax team, you will play a critical role in handling state and local corporate income tax audits, interacting with state tax auditors, and...


  • Jersey City, New Jersey, United States Fidelity TalentSource LLC Full time

    Job Description:As a Vice President of IT Product Management, you will be responsible for designing, developing, and maintaining dynamic software products that support a risk and compliance platform. You will drive and manage application development technology teams to execute on specific software product features using technical project management tools,...


  • Jersey City, New Jersey, United States SMBC Full time

    Job Title:Compliance Program Management Vice President - External Fraud Risk Assessment LeadJob Summary:SMBC Group is a top-tier global financial group with a 400-year history. We offer a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. Our Group has over 130 offices and 80,000 employees...