Director, Corporate Compliance

Job Description:

Asset Mark is a leading strategic provider of innovative investment and consulting solutions serving independent financial advisors. We provide portfolio, business consulting, service, and support solutions that advisors use in helping clients achieve their business goals to service their clients.

Summary of Role You will support the firm’s compliance program and will manage the compliance responsibilities related to new product initiatives and enhancements, marketing programs, and other strategic programs that seek to drive firm growth. You will regularly engage with product and marketing team members, attend meetings, and will provide guidance on all compliance items, such as regulatory risk and performance requirements.

You will also manage related compliance responsibilities related to marketing and sales functions such as advertising, social media, and third-party marketing reviews. You will manage junior advertising review staff, and will help ensure all sales, client proposals and marketing materials are in compliance with internal policies and regulatory requirements.  The role will also lead special projects and perform research as needed for other compliance program matters and will provide compliance guidance to senior business leaders as needed.

The ideal candidate will possess all of the qualifications required for the job, including financial services industry experience. The candidate should be dependable, motivated, and be able to work under minimal supervision and meet demanding deadlines. This position reports directly to the VP, Corporate Compliance, and will meet frequently with the Investment Advisor Chief Compliance Officer, and other Compliance and Legal senior leaders.

We can consider candidates for this position who are able to accommodate a hybrid work schedule and are close to our Concord, CA or Charlotte, NC offices.

Key Responsibilities:

Enhance compliance program and policies related to platform product oversight

Identify risks within product creation process and initiate controls

Develop, perform, and assist testing related to marketing and product initiatives, performance policies, and to ensure related processes are in compliance

Advise Marketing and other business leaders on compliance with advertising requirements

Manage junior marketing review staff

Serve as lead compliance liaison with the marketing and product development teams

Function as subject matter expert on marketing and advertising material review under Rule 206(4)-1 of the Investment Advisers Act of 1940, Rule 482 of the Securities Act of 1933 and relevant FINRA advertising rules

Own compliance marketing review through marketing workflow system

Own compliance marketing guide, related policies and procedures, and develop/update as needed

Develop disclosures for marketing and advertising as needed

Collaborate with investment and reporting teams regarding performance related matters

Review certain policies and procedures relating to the Adviser. Ensure that such policies and procedures are up-to-date and reflect current operational practices

Assist in coordinating regulatory examinations by federal regulators and internal audits.  Ensure productive relationships with internal auditors and regulators Contribute to the development and implementation of internal training programs for the firm’s investment adviser and broker-dealer

Work closely with Legal and follow through on issues pertaining to compliance efforts

Ensure productive working relationships within Asset Mark, striving to establish constructive relationships based on clear communication, mutual respect, understanding, and shared objectives

Qualifications:

Minimum 10 years financial services experience, including direct experience…