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Director Marketing Review Compliance
at The Compliance Search Group in Central New Jersey
The Marketing Review Director is accountable for managing the Marketing Review Unit (MRU) within the firm. The MRU Director will have day-to-day responsibility for managing a team of advertising review analysts, including monitoring submission volume, quality control, recordkeeping and reporting. The Director will be responsible for developing and implementing policies and procedures specific to advertising and sales material and will supervise monitoring and periodic testing of these policies and procedures. The Director will regularly consult with and guide the appropriate business partners in all aspects of advertising regulation.
Principal Responsibilities
Manage, train and develop a team of marketing review analysts
Manage the day to day work flow of marketing submissions to ensure a timely turnaround of materials
Ensure all regulatory requirements related to advertising and sales literature, including content standards, regulatory filings and recordkeeping, are met
Review complex materials and craft custom solutions to satisfy regulatory concerns and business needs
Identify and address compliance risks associated with sales material, such as its use and compliance with SEC/FINRA rules and the controls over the modification processes within the firm
Conduct periodic quality review programs to ensure appropriate usage of sales material ("use as intended")
Conduct periodic training session of marketing and sales/client relations personnel to familiarize them with regulatory requirements for sales material
Prepare monthly marketing review trending reports for submission to Compliance management
Participate in other compliance projects and activities in support of the Retirement business
REQUIRED SKILLS & EXPERIENCE
At least 7 years of prior experience in compliance or a similar control function
Four-year college degree preferred
FINRA Registration - Series 6 and 26 (or equivalent) or willingness to obtain within 90 days of hire
Substantial experience in advertising regulation
Knowledge of Federal securities laws, FINRA rules.
Understanding of retirement products a plus.
Proven control/risk assessment and multitasking project management skills
Strong analytical skills and ability to make sound judgments and act quickly under tight deadlines
Strong leadership and staff management abilities
Superior interpersonal, analytical, organizational, and written and oral communication skills, including experience working with senior management
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Principal Responsibilities
Manage, train and develop a team of marketing review analysts
Manage the day to day work flow of marketing submissions to ensure a timely turnaround of materials
Ensure all regulatory requirements related to advertising and sales literature, including content standards, regulatory filings and recordkeeping, are met
Review complex materials and craft custom solutions to satisfy regulatory concerns and business needs
Identify and address compliance risks associated with sales material, such as its use and compliance with SEC/FINRA rules and the controls over the modification processes within the firm
Conduct periodic quality review programs to ensure appropriate usage of sales material ("use as intended")
Conduct periodic training session of marketing and sales/client relations personnel to familiarize them with regulatory requirements for sales material
Prepare monthly marketing review trending reports for submission to Compliance management
Participate in other compliance projects and activities in support of the Retirement business
REQUIRED SKILLS & EXPERIENCE
At least 7 years of prior experience in compliance or a similar control function
Four-year college degree preferred
FINRA Registration - Series 6 and 26 (or equivalent) or willingness to obtain within 90 days of hire
Substantial experience in advertising regulation
Knowledge of Federal securities laws, FINRA rules.
Understanding of retirement products a plus.
Proven control/risk assessment and multitasking project management skills
Strong analytical skills and ability to make sound judgments and act quickly under tight deadlines
Strong leadership and staff management abilities
Superior interpersonal, analytical, organizational, and written and oral communication skills, including experience working with senior management
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Published at 21-06-2010
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Viewed: 10 times