Attorney in Columbus, OH

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In-House

Columbus, OH

Attorney in Columbus, OH

Non-practicing Attorney

Min 10 yrs required

No

Job Title: Asset & Wealth Management - Vice President Marketing Supervisory Manager

Job Responsibilities:
- Collaborate with Compliance and Legal teams to ensure adherence to SEC, FINRA, and company regulations and guidelines.
- Attend alternative investments team meetings to build relationships and monitor product launches.
- Utilize supervisory experience to advise the business on marketing strategy and campaign development.
- Assist in developing and delivering training to marketing team members regarding policy and regulatory guidelines.
- Review content on inter/intranet sites to ensure accuracy and relevance.
- Participate in meetings with Business, Controls, Legal, Media Relations, Tax Department, Government Relations, and other stakeholders as needed.
- Join local and global Supervisory Manager calls to stay informed about policy changes and best practices.
- Attend live client calls and filmed webcasts to ensure compliance with rules, regulations, and policies.
- Work with Technology partners and the MRC team to enhance the automated marketing review application.
- Gather feedback from clients and peers to improve the Communications Review function.
- Undertake special supervisory-related projects to strengthen the Capital Markets Solutions team.

Education and Experience Information:
- Required: 10+ years of experience in consumer regulatory compliance, supervision, controls, risk, or audit.
- Required: Minimum licensing requirement of FINRA Series 7 and Series 24.
- Strong background in alternative investments and marketing review.
- Familiarity with SEC and FINRA regulations on marketing.
- Financial services experience with knowledge of marketing and advertising practices.
- Bachelor’s Degree preferred in a business-related discipline; MBA/JD is preferred.
- Additional FINRA Series 66 (63/65), 9/10 (4,24,53) preferred.

Salary Information:
- Base Pay/Salary for Chicago, IL: $104,,
- Base Pay/Salary for New York, NY: $114,,

This role is critical in providing informed and constructive guidance on regulatory matters concerning marketing, advertising, social media, and other communications. The Vice President Marketing Supervisory Manager will play a significant role in minimizing exposure and risk to the company while ensuring compliance with relevant regulations and guidelines. This position demands a high level of expertise in financial services, alternative investments, and regulatory compliance, requiring strong decision-making, analytical, and interpersonal skills. The candidate will work closely with various teams to ensure the company's marketing materials and strategies are in line with the legal and compliance standards.

Jun 20, 2025
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