Managing Director - Americas' Distribution and Global Marketing
Core
Senior compliance leader overseeing regulatory compliance for product distribution, marketing, sales practices, and intermediary oversight across North America and Latin America.
Role type
Managing Director, Compliance (Broker-Dealer & Global Marketing)
Builds
Compliance programs and regulatory adherence for distribution and marketing activities
Domain
Asset Management / Securities Regulation
Deliverable
client delivery
Required skills
FINRA broker-dealer compliance, securities laws and regulations, marketing compliance, team management, regulatory filings
Preferred skills
Institutional firm experience, private wealth channel compliance, multi-jurisdictional regulatory knowledge
Technologies
FINRA systems, SEC reporting tools
Responsibilities
Oversee broker-dealer compliance team including policies, filings, training, and testing; Manage distribution compliance for North America and Latin America including fund registrations and lobbyist requirements; Lead global marketing review team ensuring compliance with SEC Marketing Rule and FINRA standards
Seniority
Senior, hands-on IC with management responsibilities