A leading FinTech is looking for you to join the team as it's next VP, Registered Funds Compliance! This is an incredibly exciting time to joint the team as the firm is continuing to grow with no signs of slowing down. The idealy candidate has strong knowledge in the Investment Company Act of 1940 and is an SME in marketing review. If what is below matches your background, be sure to apply into this VP, Registered Funds Compliance role!
The VP, Registered Funds Compliance will be responsible for:
- Supervise, coordinate, and prioritize the compliance review of marketing materials for registered funds, client communications, and other documents to ensure adherence to SEC and FINRA regulations.
- Develop and enforce processes and procedures to support compliance testing and monitoring of marketing materials and other registered fund compliance initiatives.
- Work with different business units on new marketing initiatives, offering compliance guidance. Update and maintain policies and procedures in response to new regulatory developments and business initiatives.
The VP, Registered Funds Compliance should have the following qualifications:
- Over 8 years of experience, including expertise in SEC and FINRA requirements for marketing registered funds.
- Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, SEC Marketing Rule, and FINRA 2210 regulations.
- Experience with both registered products and alternative investments.
- Outstanding presentation, communication, and interpersonal skills.
- Series 24 required.
Don't wait to be our clients next VP, Registered Funds Compliance!
