Our client, a rapidly-growing New York based private equity fund, is currently seeking an International Marketing Compliance Associate for its Compliance team.
The purpose of the role will be to provide assistance with a vast array of international offerings activities as well as conducting the review of marketing materials on numerous communications.
Key responsibilities for this position will include, but are not limited to:
Working alongside law firms to update and gather regulatory advice on marketing, licensing and registration of funds in numerous countries
Providing advice to sales teams as well as clients on marketing regulations in jurisdictions outside of the United States
Completing regulatory filings in coordination with different teams for various countries
Proactively recommending solutions in order to solve regulatory challenges
Reviewing marketing materials to ensure they are compliant with SEC and FINRA regulations
Coordinating with different teams to ensure the timely review and approval of communications
Conducting compliance monitoring programs in relation to marketing materials
Updating policies and procedures
Assisting the Compliance team with any ad hoc compliance task
Educated to a degree level, JD or equivalent beneficial though not essential
At least 2 years of experience in international offerings or compliance marketing
Experience at an investment or wealth manager desirable - fintech a plus
For more information about this position, please get in touch with Ali Hughes.
Phone: +1 (332) 256-0130
Reference Code: 11502
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.