Director, Compliance - Advertising and Marketing Review Stamford, Connecticut, United States

Company: Tbwa Chiat/Day Inc
Location: Stamford
Posted on: November 13, 2024

Job Description:

Director, Compliance - Advertising and Marketing ReviewStamford, Connecticut, United StatesGrayscale Investments is the world's largest digital currency asset manager. Through its family of investment products, Grayscale provides access and exposure to the digital currency asset class in the form of a traditional security without the challenges of buying, storing, and safekeeping digital currencies directly. With a proven track record and unrivaled experience, Grayscale's products operate within existing regulatory frameworks, creating secure and compliant exposure for investors.Position Summary:Grayscale Investments is seeking a Director, Compliance to support the Firm's Marketing and Advertising Review. The Director will be responsible for facilitating the day-to-day operations of the Firm's marketing compliance program, including directly overseeing reviews of advertising and marketing materials (including social media) for the Firm's Registered Investment Adviser and Broker-Dealer, and monitoring marketing activities to promote compliance with internal policies, applicable rules and regulations. This role will work collaboratively across the business to ensure that Grayscale's external communications, marketing, and advertising comply with appropriate regulations.Responsibilities:

• Partner with Communications, Marketing, and Sales to ensure compliance with the Firm's policies and procedures and to assist with efficient functioning of marketing materials delivery and workflows.
• Ensure all communications comply with applicable regulatory guidelines and are filed in a timely and accurate manner.
• Implement processes related to marketing and distribution activity to maintain quality and accuracy.
• Monitor ongoing regulatory actions to ensure that team members are conducting business with the most up-to-date industry knowledge.
• Perform targeted reviews in connection with the specific ETF/ETP compliance requirements, including web and document disclosure, and other regulatory and compliance requirements.
• Support the Firm's compliance program under Rules 38a-1 of the Investment Company Act and 206(4)-7 of the Investment Advisers Act.
• Effectively work and communicate across all levels of the organization.Prior Experience/Requirements:
  • Bachelor's degree with strong academic achievement.
  • 8+ years of experience reviewing different types of marketing materials including, registered fund materials, website & social media content, customized investor presentations and distribution of materials for retail and accredited investors.
  • Relevant knowledge and/or work experience with a variety of product types including alternative investment vehicles, private funds, and exchange-traded funds is required.
  • Strong understanding of the regulatory obligations under Rule 206(4)-1 of the Investment Advisers Act, SEC Marketing Rule, and FINRA Rule 2210, and any other applicable rules, regulations, SEC no-action letters, and interpretive guidance.
  • Knowledge of US ETF & ETP regulatory environment, including Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Exchange Act of 1934, and Securities Act of 1933.
  • Ability to provide accurate, direct and practical advice in a timely fashion.
  • Detail oriented with the ability to assess and prioritize projects.
  • Ability to operate in a fast-paced environment.
  • FINRA Series 7 and 24 required.We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
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