VP Marketing Review

New York, NY



  • Review and approve all communications, including but not limited to marketing materials; custom requests, factsheets; PowerPoint presentations, request for proposals; due diligence questionnaires; website content; social media; investor reporting and electronic communications
  • As a registered principal, approve materials for use by FINRA registered individuals
  • Submit retail communication and similar retail advertising materials to FINRA and the individual states, as required
  • Assist with other aspects of the compliance program (such as Code of Ethics compliance and compliance monitoring and testing) as required




  • This position requires 5-10 years of investment company, investment adviser and broker dealer advertising/marketing review experience.
  • Series 7 and 24 required.




Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 10/4/2019
Salary $115,000 - $150,000 + bonus

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