Location: New York,NY, USA
We represent alternative investment financial technology platform looking to hire an Assistant Vice President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer subsidiary and SEC registered investment advisors. This individual will be responsible for ensuring compliance with all communications and advertising rules, working with the Distribution and Marketing teams and generally assisting the Legal and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.
Qualifications
5-8 years of experience, preferably with both broker dealer and registered investment advisor experience
Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, including SEC 206(4)-1, and FINRA regulations
Experience with alternative investments and structured investments, as well as an understanding of compliance restrictions around private placements and registered products
JD is a plus
Series 24 must be obtained upon hire or shortly thereafter
#24-21