Marketing Compliance - Assistant Vice President / Vice President
Skills
- Strong knowledge of SEC and FINRA regulations
- Experience with alternative investments and private funds
- Excellent verbal communication skills
- Project management skills
- Ability to thrive in fast-paced environments
Responsibilities
- Review marketing materials for SEC and FINRA compliance
- Perform compliance testing and monitoring for marketing materials
- Collaborate with business lines on marketing initiatives
- Update policies and procedures based on regulatory changes
- Assist in company-wide training for compliance obligations
- Prepare for inquiries and audits from regulatory authorities
Education
- 3-7 years of experience in compliance
- JD preferred but not required
Benefits
- Competitive salary and equity
- Annual performance bonus
- Employer matched retirement plan
- Subsidized healthcare, including dental and vision
- Parental leave
- Unlimited paid time off (PTO)
Average salary estimate
If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.
Be part of iCapital’s innovative approach in financial technology by joining us as a Compliance Assistant Vice President or Vice President focused on KYC and regulatory compliance.
Join iCapital as a Full-Stack Engineer to enhance financial technology for high-net-worth clients through innovative software solutions.
Seeking a detail-oriented Compliance Analyst to join American Express’s Global Financial Crimes Surveillance Unit, focusing on transaction monitoring and compliance oversight.
Join American Express as a Compliance Analyst and contribute to the fight against financial crimes while advancing your career in a supportive environment.
Join OKX as a Product Compliance Lead and support our Growth & Partnerships teams in ensuring regulatory compliance while enabling innovation in the crypto space.
Step into a pivotal role with American Express as an Analyst-Compliance, where you'll drive innovation in financial crimes compliance.
American Express is looking for a Compliance Analyst to strengthen our compliance risk governance initiatives and drive impactful decisions.
Join American Express as a Compliance Analyst to influence our risk management strategies while supporting your professional growth.
Lead the charge in defining and executing privacy compliance standards as the Senior Manager at American Express.
American Express seeks a Senior Manager to drive privacy compliance standards and training, playing a pivotal role in shaping enterprise data governance.
SB Energy is looking for a dedicated Operational & Regulatory Compliance Lead to ensure comprehensive compliance within the renewable energy sector.
We're looking for a detail-oriented Market Data Compliance Analyst to join our innovative team at Interactive Brokers and drive effective compliance across our market data operations.
Coinbase seeks a driven Lead TMS Compliance Analyst to champion their mission of economic freedom by investigating AML and fraud-related transactions.
Join American Express as a Compliance Analyst and help enhance our compliance risk governance initiatives.
Join Visa as a Compliance Analyst, where you'll enhance our commitment to secure and reliable payments through careful investigation and due diligence.
iCapital is a financial technology platform that simplifies access to alternative investments, such as private equity and hedge funds, for high-net-worth investors and their advisors.
24 jobsSubscribe to Rise newsletter
🔮
Hi, I'm Risa! Your AI Career Copilot
you, just ask me below!
