Location: New York, NY, United States

This team collaborates closely with senior stakeholders across Audit, Legal/Compliance, Risk, and Controls Management, and you will be responsible for driving the development, implementation, and monitoring of effective controls. The ideal candidate will have significant asset management industry experience, strong asset management marketing knowledge, and a proven ability to lead cross-functional initiatives in a fast-paced environment.

As a Vice President U.S. Communications Controls Group within the U.S. Investment teams and the broader marketing organization, you will play a critical leadership role in supporting the U.S. Investment teams and the broader marketing organization by providing expert regulatory guidance and partnering with business leaders to ensure all marketing and communications activities meet the highest standards of regulatory compliance and internal control.

Job Responsibilities

• Serve as a subject matter expert on asset management marketing and sales regulations, including, but not limited to, FINRA, SEC, OCC, and DOL requirements.
• Lead the design, implementation, and ongoing enhancement of internal controls and monitoring processes for marketing and communications.
• Provide proactive regulatory guidance and support to business partners across multiple lines of business, ensuring alignment with firm policies and regulatory expectations.
• Build and maintain strong working relationships with Audit, Legal/Compliance, Risk, and Controls Management to ensure a coordinated approach to risk management.
• Evaluate business activities, guidelines, and procedures to assess compliance risk and recommend solutions that balance regulatory requirements with business objectives.
• Develop and deliver training and educational programs to ensure employees understand and adhere to marketing regulations and industry best practices.
• Respond to regulatory inquiries, audits, and examinations, and support the resolution of issues as they arise.
• Stay current on industry trends, regulatory developments, and internal standards to continuously improve the effectiveness of the CCG.

Required Qualifications, Capabilities, and Skills

• Bachelors degree required.
• Minimum of 8+ years of experience in the asset management industry, with a strong focus on marketing, communications, and regulatory compliance.
• Deep knowledge of U.S. asset management marketing regulations and industry best practices.
• Demonstrated leadership experience in a complex, matrixed organization.
• Exceptional communication skills, with the ability to influence and engage stakeholders at all levels.
• Strong analytical, critical-thinking, and problem-solving skills.
• High level of integrity, sound judgment, and commitment to professional ethics.
• Proven ability to manage multiple projects and priorities in a fast-paced environment.
• Excellent collaboration and teamwork skills, with a strategic mindset.

Preferred Qualifications, Capabilities, and Skills

• Series 7 and/or Series 24.
• Experience with asset management marketing regulation.

 

 

Deliver expert regulatory oversight while maintaining and enhancing existing controls with promote and precision.