Compliance Manager - Marketing & Communications Specialist (New York)

Insight Investment is looking for Compliance Manager to join the Compliance Team in New York. The role involves reviewing marketing and advertising materials to ensure compliance with regulatory requirements and Insight policies, collaborating with Insight Marketing to develop and oversee the framework for marketing review processes, and conducting regulatory compliance training for employees.

Additionally, the role includes participating in global business and compliance projects, providing advice on marketing requirements, and effectively communicating regulatory changes to relevant personnel. Representing the Insight Compliance Department with integrity and competency is also a key aspect of the role.

Role Responsibilities

• Undertake reviews of marketing, advertising, and other communications materials on behalf of Insight Compliance as the second line of defence, helping to ensure the content of such materials aligns with regulatory requirements and expectations and Insight policies and standards. This includes, but is not limited to, requirements under the SEC Marketing Rule and the communications requirements under the rules of various self-regulatory organizations such as the National Futures Association. Partner with Insight’s Performance Reporting Group on matters related to performance advertising
• In collaboration with Insight Marketing, further develop and oversee the framework for marketing and advertisement review processes and controls in the US and globally, including the drafting of standard and bespoke disclosures
• Develop and help execute a program of sample testing/monitoring of use of marketing material
• Conduct ongoing regulatory compliance training of employees and orientation of new hires with respect to communications with the public requirements; develop targeted compliance communications to help ensure employee awareness of key requirements
• Participate in global business and compliance related projects
• Provide advice to firm personnel regarding marketing and advertising requirements, particularly in “live” scenarios involving upcoming client meetings and presentations
• Effectively communicate regulatory and procedural changes to relevant personnel
• Dependably represent the Insight Compliance Department by projecting integrity, honesty and competency while effectively communicating with US based personnel

Experience Required

• College degree with direct compliance experience
• Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, National Futures Association requirements, Commodity Exchange Act, and ERISA, in particular communications with the public and marketing and advertising requirements thereunder
• Ability and desire to support broader compliance teams and activities, including but not limited to policy and procedure development and maintenance, conducting compliance risk assessments, assisting with compliance monitoring activities, and US and non-US regulatory reporting
• Experience supporting portfolio management and trading teams and other front office personnel a plus
• Ability to manage challenging workflow in fast paced, dynamic global organization, managing multiple assignments in a deadline driven environment

Insight is committed to being an inclusive employer and encourages applications from all suitably qualified applicants irrespective of background, circumstances, age, disability, gender identity, ethnicity, religion or belief and sexual orientation. If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at TalentAcquisition@InsightInvestment.com

Insight Investment is an equal opportunities employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability status, age, or any other status protected by law. Under pay transparency law we are required to indicate the base salary range for this role of USD 150,000 to 190,000. Any offer of employment will be made based upon the specific skills and experience of the selected candidate and the base salary offered could be higher or lower than indicated.

About Insight Investment

Insight Investment is a leading asset manager focused on designing investment solutions to meet its clients' needs. Founded in 2002, Insight's collaborative approach has delivered both investment performance and growth in assets under management. Insight manages assets across its core liability-driven investment, risk management, full-spectrum fixed income, currency and absolute return capabilities.

Insight has a global network of operations in the UK, Ireland, Germany, US, Japan and Australia. More information about Insight Investment can be found at: www.insightinvestment.com