Marketing Compliance Director - Los Angeles, United States - jcw llc

Description

Overview:

The Director of Marketing Compliance plays a critical role in ensuring that all marketing activities within a multinational financial services organization adhere to regulatory standards, with a primary focus on SEC and FINRA regulations.

This individual oversees the development, implementation, and monitoring of compliance programs to mitigate risks associated with marketing practices, ensuring alignment with relevant laws, regulations, and industry best practices.

Key Responsibilities:

Compliance Strategy Development:
Develop and maintain a comprehensive compliance strategy specifically tailored to marketing activities within the financial services sector. This involves staying abreast of evolving SEC and FINRA regulations and industry trends to proactively address compliance challenges.


Policy Development and Implementation:
Draft, review, and update marketing compliance policies and procedures to ensure alignment with SEC and FINRA regulations. Implement these policies across marketing teams, providing guidance and training as necessary to ensure understanding and adherence.


Marketing Material Review:

Oversee the review process for all marketing materials, including advertisements, presentations, and communications, to ensure compliance with regulatory requirements.

Work closely with marketing, legal, and compliance teams to address any issues identified during the review process.


Regulatory Filings and Reporting:

Manage the preparation and submission of regulatory filings related to marketing activities, such as Form ADV and Form U4.

Ensure accurate and timely reporting to regulatory authorities, maintaining compliance with all disclosure requirements

Monitoring and Surveillance:
Establish and maintain systems for monitoring marketing activities to detect potential compliance violations or misconduct. Implement surveillance tools and processes to identify and address issues proactively.


Qualifications:

Bachelor's degree in business, finance, law, or a related field; advanced degree or professional certificationExtensive experience (8+ years) in compliance, legal, or regulatory roles within the financial services industry, with a focus on marketing compliance and SEC/FINRA regulations.

In-depth knowledge of SEC and FINRA rules and regulations governing marketing activities for financial products and services.
Proven track record of developing and implementing compliance programs, policies, and procedures.#J-18808-Ljbffr