Sr Manager, Communications and Marketing Compliance
Core
Independent review and formal approval of marketing and client communications for complex investment strategies to ensure regulatory compliance.
Role type
Senior Manager, Marketing Compliance
Builds
Compliant marketing materials, presentations, and client communications for institutional mandates, registered products, and alternative investments.
Domain
Asset Management / Financial Services / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory interpretation (SEC/FINRA), risk assessment, performance presentation review, policy application, cross-functional partnership, training delivery
Preferred skills
Experience with alternative investments (private equity/credit), AI content compliance review, multi-jurisdictional knowledge (EMEA/APAC), strategic messaging development
Technologies
AI-powered compliance tools, digital content platforms
Responsibilities
Conduct detailed review and provide regulatory approval for marketing materials and client communications. Evaluate communications for complex investment products against regulatory requirements. Assess performance presentations for appropriate disclosure and substantiation. Identify and escalate material risks including misleading statements or incomplete disclosures. Interpret and apply SEC Marketing Rule, FINRA Rule 2210, and GIPS standards. Partner with marketing, product, and legal teams to develop compliant messaging strategies. Address regulatory comments and ensure timely remediation. Provide guidance and training to business partners on compliance expectations.
Seniority
Senior Manager, independent judgment & mentorship