Vice President - Marketing Compliance-Asset Management

Location: New York, NY
Date Posted: 06-27-2018
• Actively participating in business decisions to champion our clients’ interests and assist; the business to translate Compliance into their daily work;
• Have client interests at the center of everything we do;
• Cultivate and enhance the compliance culture 
• Provide thought leadership on the impact and implementation of regulation; and
• Developing and fostering excellence within the Compliance team.
Job Purpose/Background:
This individual will join the US Marketing & Distribution Compliance team to focus on the Alternatives growth strategy and related initiatives, including working closely with the Alternatives business on their sales and marketing content. This is a fantastic opportunity to assist using product knowledge and knowledge of applicable regulatory requirements, including FINRA rules and applicable securities laws. The role will be based in New York.
Key Responsibilities:
  • Provide guidance on regulatory and reputational risks associated with various new initiatives
  • Participate on working groups and/or support team members who are on working groups
  • Consider implication of the firm’s Alternatives strategy in the context of product launches, sales activities, and client meetings
  • Partner with colleagues globally to help develop and ensure consistency of policy approach
  • Partner with colleagues in Legal and Compliance and the Alternatives business on the development of new products
  • Deliver targeted training on marketing and advertising rules and policies, as well as, applicable regulatory developments
  • Advise on product distribution issues for global institutional businesses
  • Analyze and opine on regulatory developments, as relevant
  • Knowledge/Experience: .
  • Strong knowledge of Alternatives business and products (private equity and/or hedge funds)
  •  Ideal candidate would enjoy working within a collaborative team structure and also have strong project management and leadership skills
  •  Exposure to advertising and marketing regulations (preferable, not required)
  •  Knowledge FINRA and SEC rules and regulations
  •  Strong analytical and (written and oral) communications skills
  • Skills/Qualifications:
  • BS/BA degree; JD degree (preferable, but not required)
  • Minimum of 5 – 7 years of legal and/or compliance experience in asset management
Very competitive salary and benefits!
Great company to work for!
Full relocation package is available!
Don't miss out! Apply now and we'll be in touch immediately with more specific details, salary information and to answer any questions!!

This position does NOT provide sponsorship so please do NOT apply if you require sponsorship.  Thank You

KP Recruiting Group 
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