Sr Mgr – Compliance

Sr Mgr – Compliance

Requirements

• Proficient in JIRA and Microsoft Office Suite
• Critical thinking, risk mitigation, and willing to provide negative feedback
• Knowledge of financial industry marketing rules and best practices involving marketing to the public
• Ability to support and interact with a dynamic global work force
• Able to operate efficiently in a hybrid work environment
• Ability to manage periods of high volumes, meet deadlines, and prioritize competing projects
• Ability to learn new information quickly and independently

Responsibilities

• Primary point-of-contact monitoring the intake of global marketing content submissions via automated JIRA workflows.
• Primary Compliance reviewer of marketing content submissions including timely review, issuing disposition, determining escalation, and providing constructive feedback or corrections to content creators.
• Responsibility to train, assign, and monitor other Compliance staff on assisting with marketing reviews for cross-training, to manage high volumes, or as time sensitivity dictates.
• Collaborate with CGM’s Legal Department on foreign jurisdictional constraints, high-risk or sensitive marketing content, and maintenance of pre-approved disclaimers, trademarks, and copyrights applicable to CGM’s brand, products, or services.
• Own and maintain the CGM Marketing Review Procedure including making timely edits, conducting regular effectiveness reviews, and socializing material updates to impacted staff.
• Conduct periodic training and issue written guidance to content creators and certain staff in other public-facing roles on the Company’s marketing compliance review process, standards, and best practices.
• Maintain knowledge of the regulatory landscape, jurisdictional laws, industry rule changes, and best practices.
• Assist in collecting and preparing documentation for related regulatory inquiries, examinations, internal/external audits, or board/committee presentations.
• Build a thorough knowledge base and stay apprised of the Company’s brand initiatives, products, services, and affiliate business lines.
• Prepare metrics, document productions, or written responses for regulatory inquiries, examinations, audits, and board/committee presentations pertaining to marketing compliance processes and controls.
• Execute special project support, work and other duties for the CGM CCO and Compliance leadership in advancement of divisional goals, requirements, and objectives.

Preferred Qualifications

• 10+ years of experience supporting financial industry marketing compliance, with a strong interest in developing a long-term compliance focused career in a global organization.