Marketing Compliance Director

Michael Page is one of the world's leading professional recruitment consultancies, specializing in the placement of candidates in permanent, contract, temporary and interim positions with clients around the world.

This role is responsible for overseeing the marketing compliance operations for our client's entire United States operation. This role reports into the Global Chief of Marketing Compliance.

* Accountable to ensure the accurate review of marketing and advertising materials and other communications for United States business lines to ensure compliance with regulatory requirements. Materials and communications include investment strategy presentations, fact sheets, product profiles, market and investment commentaries, thought leadership articles, newsletters, Request for Proposals (RFP), Requests for Information (RFI), Due Diligence Questionnaires (DDQ), social media and web content, and other applicable documents which include both print and video. * Manage the review and update of marketing and advertising compliance-related policies and procedures to ensure they are current and reflect any changes to the regulatory environment pertaining to investment related advertising material. Coordinate the implementation and adherence to policies and procedures of the Department. Collaborate with regional Center of Expertise team members with respect to review of materials and process enhancement. * Oversee training and provide guidance to business unit personnel related to advertising rules and regulations, including use of social media. Analyze the effect of product changes on sales and advertising materials and communicate to business lines. * Monitor compliance and stay abreast of North American advertising regulations, including SEC, CFTC and FINRA, and assess the impact to communications material of various types. * Collaborate on compliance team projects as necessary which will include global discussions with Asia and Europe on applicable Sales and Marketing pieces. * Support the CCO in coordinating activities supporting the Annual Compliance Assessment and the Annual Compliance Training programs. * Supervise Sr. Compliance Analyst position as well as any contractors engaged in the distribution compliance review process. Evaluate and makes recommendations to enhance professional development needs of team. Assist CCO in developing staff and perform periodic training regarding recent industry regulation developments. Ensure that development plans, goals, and objectives are documented for each employee.

* Bachelor's degree in Accounting, Economics, Finance, Law, Mathematics or equivalent work experience; advanced degree preferred but not necessary. * Knowledge of the Investment Advisors Act of 1940, applicable SEC Rules. Role will support both US and Canadian markets with a growth expectation of collaborating with Europe and Asia. Working knowledge of with FINRA Advertising Rules and Regulations. * Highly motivated Compliance professional with strong oversight and risk management skills, 5-7 years of compliance experience in the financial services industry preferably with investment advisor experience. Familiarity with institutional asset management business is preferred. * Prior compliance experience supporting an asset management firm with advanced knowledge of investment products. * Comprehensive knowledge of marketing review operations and systems. * Excellent oral and written communications skills, organizational and time management skills, ability to collaborate and negotiate with marketing, sales administration and product groups. Superior communication skills, including presentation and meeting facilitation skills * Strong leadership skills; able to translate vision into practical business plans; ability to interact with and influence business associates at various levels. * Supervisory experience preferred. Can effectively arbitrate and resolve conflicts between internal and/or external constituents * Demonstrated experience in the development, execution and management of long range strategic and tactical project plans; ability to multitask and prioritize projects. * Available for occasional travel * Superior ability to comprehend regulations/legal documents and apply learnings to processes to strengthen the compliance program and enhance business growth