Compliance Marketing Material Review (Top-Tier Hedge Fund)

Greenwich, CT

Posted: 12/13/2018 Employment Type: Direct Hire Job Category: Compliance Job Number: 90
Job Description & Synthesis
Our client, a world renowned hedge fund located in Greenwich, CT,  is  seeking an exceptionally talented individual for the opportunity to join their Compliance group.   The primary focus of this role is the review and approval of marketing materials produced in support of the firm’ s global distribution and marketing efforts.

Specific Responsibilities
  • Review marketing materials across an array of investment strategies to ensure compliance with applicable regulations (e.g., SEC, FINRA, non-US) and internal policies.
  • Provide guidance to the business on advertising and performance reporting best practices in support of marketing and sales efforts
  • Possess and cultivate knowledge of an asset manager’ s compliance culture and departmental functions
  • Maintain relevant industry and regulatory knowledge
  • Provide training to relevant staff on certain compliance policies and procedures
Key Qualifications
  • Bachelor' s degree
  • 3-5 years minimum experience reviewing marketing material, preferably with an Investment Adviser or Broker/Dealer
  • Series 7 and 24 licenses a plus
  • Familiarity with global performance standards
  • Well organized, detail-oriented and strong communication skills
  • Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment

 
compliance, marketing materials review, hedge fund compliance

Spencer Knibbe
Managing Partner

Spencer is the Founder and Managing Partner of MBK Search, LLC - an executive search firm that specializes in the governance, risk, compliance, and cybersecurity market space. Prior to founding MBK, Spencer was Head of Operational Risk at Bridgewater Associates. Before moving to Bridgewater, Spencer was the Head of Risk for ICAP, Plc covering the Americas Region. He started his career in venture capital as an investment associate.

Spencer graduated from Harvard University in 2001 and resides in Ridgefield, CT with his wife and two sons.

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