Compliance Director

Company: Infinity Consulting Solutions
Location: Chicago
Posted on: September 25, 2022

Job Description:

As a senior member of the Legal and Compliance Team, the successful candidate will be well-versed in applicable SEC, Client, NFA, and GIPS marketing and advertising rules as they relate to the advertising and marketing of securities products, investment strategies and investment solutions through print, social media and other electronic formats, have a demonstrated track record of helping firms market and advertise in unique and differentiated ways, and serve as a trusted partner within the business as Harbor expands its marketing and advertising efforts in Client and innovative ways. The need to demonstrate strong attention to detail, well developed organizational skills, and the ability to handle multiple tasks at the same time in a fast-paced and complex organization will be paramount. Just as importantly, the successful candidate will be enthusiastic about the training and mentoring of his/her direct reports.


This position can be based in Boston, Chicago or fully remote. Remote employees would be expected to travel to our Chicago or Boston offices from time-to-time.


KEY RESPONSIBILITIES




* Review of marketing and advertising materials to ensure compliance with applicable regulatory requirements ( e.g., Client, SEC, NFA, GIPS) and filing of materials with regulators as needed

* Determine and articulate how existing regulations apply to various categories of communications including retail, institutional, and internal use only materials

* Draft new disclosure language as needed and maintain disclosures database

* Work closely and collaboratively with the Marketing and Distribution teams on new initiatives, including social media campaigns

* Provide thought leadership on existing marketing and advertising initiatives and the evolution of investment adviser and pooled vehicle marketing and advertising, including in various non-traditional forms of media

* Effectively and promptly remediate non-compliant situations

* Implement and enhance compliance policies, procedures, and processes as they relate to areas of responsibility

* Develop and deliver marketing and advertising training to internal constituents

* Be able and willing to articulate point of view and provide a compelling and inspiring rationale to inform and/or persuade decision makers

* Effectively manage and resolve conflicts and differences of opinions; build consensus among internal/external stakeholders

* Quickly synthesize complex information to distill critical issues and recommendations that consider risks, benefits, and alternative perspectives



KEY BEHAVIORAL EXPECTATIONS




* Drives for Results

* Creates Culture of Collaboration

* Change Leadership

* Communication & Engagement

* Unleashes Innovation

* Agility & Adaptability



MINIMUM QUALIFICATIONS




* Strong academic credentials. Bachelor's Degree or higher required

* Minimum of 10 years of hands-on advertising/marketing review experience in a financial services firm, consulting firm, or law firm

* Experience with ETFs and multi-asset products and solutions and/or operating in a manager-of-managers structure

* Experience with GIPS

* Committed to maintaining the highest ethical standards



KNOWLEDGE, SKILLS & ABILITIES REQUIRED


The ideal candidate will be an intelligent, energetic, and goal-oriented, conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment and will possess the following attributes:




* Experience in the investment management industry and strong knowledge of the regulations that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and Client rules and regulations.

* Advanced proficiency with learning and administering technological applications. Experience with Red Oak or similar advertising review software helpful.

* Series 7 and 24 necessary or will be required within 6 months of hire

* Excellent interpersonal and communications skills, both written and verbal; must be able to interact with senior business professionals and address issues in a thoughtful and timely manner

* Experience and strong knowledge of GIPS standards

* Bold, creative, innovative mindset

* Independent, self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment

* Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy

* Responsible for managing complex projects with multiple internal and external parties; therefore, candidate must demonstrate a cooperative attitude and exceptional interpersonal and consensus building skills

* Responsible for managing diverse and complex projects according to timelines that the candidate will create and monitor; therefore, strong project and time management skills are a must

* Drive for continuous improvement and pursuit of challenging goals

* Ability to shift focus dependent upon the need of the department to support teamwork

Keywords: Infinity Consulting Solutions, Chicago , Compliance Director, Executive , Chicago, Illinois