Job Overview – Vice President, Marketing Material Compliance:
Compensation: $150,000 – $225,000/year base ($275,000 – $375,000 All-in)
Location: New York, NY
Schedule: Monday to Friday (In-Office)
Our client is hiring a Vice President of Marketing Material Compliance to join their New York, NY office. This in-office leadership role is ideal for compliance professionals with deep expertise in SEC marketing rules, private fund advertising, and marketing content review. You’ll oversee compliance for all marketing deliverables, lead testing and AML programs, and ensure firm-wide readiness for SEC marketing rule audits and investor-facing disclosures.
Responsibilities as the Vice President, Marketing Material Compliance:
- Compliance Oversight: Lead the review of investor communications, pitch materials, and due diligence questionnaires to ensure they meet SEC marketing standards and internal compliance protocols.
- Strategic Marketing Support: Provide real-time compliance guidance to the marketing and IR teams and participate in Investment Committee discussions to proactively address regulatory matters.
- Review & Assurance: Execute substantiation processes for marketing content and manage recurring testing programs to maintain audit readiness and regulatory alignment.
- Regulatory Strategy: Monitor shifts in SEC marketing regulations, refine firm policies accordingly, and implement improvements across compliance operations.
- Cross-Functional Coordination: Collaborate with legal, marketing, and investment teams to streamline review processes and maintain consistency in external-facing materials.
- Team Leadership: Mentor junior compliance professionals, oversee AML-related initiatives, and deliver training sessions to reinforce best practices across teams.
Qualifications for the Vice President, Marketing Material Compliance:
- Education: Bachelor’s degree required.
- Experience: 6-8 years of compliance experience focused on marketing materials, ideally within a private equity fund adviser or investment management firm.
- Technical Skills: Demonstrates knowledge of SEC marketing rules and AML frameworks, with experience using regulatory tracking tools and document management systems.
- Skills & Attributes: Strategic thinker with strong project management and communication skills, capable of balancing regulatory precision with business objectives in a fast-paced environment.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.