AVP Compliance, Marketing Review


New York, NY

Industry: Accounting, Finance & Insurance


8 - 10 years

Posted 28 days ago

This job is no longer available.


This position is responsible for compliance matters relating to the Relationship Management and Investor Relations teams. This role focuses primarily upon reviewing and approving a variety of marketing, communications, and related materials produced in support of the firm's global asset management business, with a focus on the Illiquid Credit investment vertical. In addition, this role provides general compliance support related to the firm's distribution and marketing efforts worldwide, as well as any other ad hoc projects.


  • Education: • College degree
  • Series 7, 63, preferred Experience Required
  • 7-10 years of directly-relevant experience
  • Familiarity with SEC regulatory review and interpretation of regulations
  • Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment
  • Organizational skills, demonstrated ability to manage competing priorities and lead projects to completion
  • Proven ability to communicate effectively with all levels of management, auditors and regulatory examiners
  • Understanding of investment adviser industry including the Investment Advisers Act and Investment Company Act