Associate/Vice President, Compliance Marketing Material Review, Greenwich, AQR Capital Management
AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to identify and isolate the factors that matter most, and by developing ideas that stand up to rigorous testing. By putting theory into practice, we have become a leader in alternative strategies and an innovator in traditional portfolio management since 1998.
At AQR, our employees share a common spirit of academic excellence, intellectual honesty and an unwavering commitment to seeking the truth. We’re determined to know what makes financial markets tick – and we’ll ask every question and challenge every assumption. We recognize and respect the power of collaboration and believe transparency and openness to new ideas leads to innovation.
We are seeking an exceptionally talented individual to join our Compliance group as a Vice President of Compliance Marketing Review. In this role you will primarily support the firm’s global distribution and marketing efforts and be responsible for reviewing advertising and marketing material (including social media) for the firm’s investment adviser and broker-dealer, and monitoring marketing activities to promote compliance with internal policies, applicable rules and regulations.
Review marketing material across an array of investment strategies to ensure compliance with applicable regulations (g., SEC, FINRA, non-US) and internal policies.
Provide guidance to the business on advertising and performance reporting best practices in support of collaborative marketing and sales efforts
Work closely with Business Development and Marketing colleagues to ensure compliance with the firm’s policies and procedures and to assist with efficient functioning reviews and workflows
Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant regulatory rulemaking initiatives
Provide training and informational tools to relevant staff on pertinent compliance policies and procedures and regulatory requirements
Assist with broker-dealer supervision of related marketing and sales activity (e.g., email review and other ad hoc tasks).
Effectively work and communicate across all levels of the organization
Develop in-depth knowledge of the firm’s investment products and capabilities
What You’ll Bring:
3-5 years minimum experience reviewing marketing material, preferably with an investment adviser or broker-dealer
Series 7 and 24 licenses required
Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the new SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules, regulations, and interpretive guidance
Well organized, detail-oriented and strong communication skills
Ability to provide accurate, direct and practical advice in a timely fashion
Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment
AQR mandates that U.S. employees are vaccinated against COVID-19 as a condition of employment, subject to reasonable accommodation as required by law.
AQR is an Equal Opportunity Employer. EEO/VET/DISABILITY
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