Asset Management Marketing Reviewer (Series 24 or 9/10)

  • Negotiable
  • Jacksonville, FL, USA Jacksonville FL US
  • Permanent, Full time
  • Deutsche Bank - US
  • 18 Jun 18 2018-06-18

The Marketing Review Group is responsible for the review and approval of marketing material and communications for Asset Management. We complete the review and provide approval of all materials for consistency with internal firm policies and as applicable per regulatory standards. In addition, the MRG serves as the central record keeper that maintains copies and background for these materials, and also provide support with reporting, record keeping, regulatory filings and work flow maintenance.

Job Title: Marketing Reviewer
Corporate Title: Assistant Vice President
Location: Jacksonville, FL

Overview of Marketing Review Group (MRG)

The Marketing Review Group (MRG) is responsible for the review and approval of marketing material and communications for Asset Management. We complete the review and provide approval of all materials for consistency with internal firm policies and as applicable per regulatory standards.

In addition, the MRG serves as the central record keeper that maintains copies and background for these materials, and also provide support with reporting, record keeping, regulatory filings and work flow maintenance.

Key objectives/goals of MRG:

  • Review and provide compliance guidance about the product marketing and training materials (including mutual funds, ETFs, separately managed accounts, private equity funds, retirement services, etc) produced by the asset management business channels
  • To become a subject matter expert regarding marketing and communications related regulatory guidelines (including FINRA, SEC, GIPS, etc)
  • Assist with developing, revising and implementing policies and procedures regarding advertising review activities and regulatory developments. Complete oversight of business units' compliance with marketing materials policies
  • Monitoring all submissions of materials in timely fashion and ensure the quality of the submissions
  • Filing of material - complete regulatory filing of material with FINRA
  • Special projects, maintain team updates for reporting, maintain team review statistics, CRS (Compliance Review system) functionality and enhancements, resolve issues and provide solutions

Experience:

  • MRG staff members must possess previous relevant compliance or audit experience within an Asset Management firm and have the knowledge to effectively review marketing and advertising materials
  • MRG staff must be familiar with FINRA rules and regulations as well as knowledge of the Adviser's Act and applicable banking regulations
  • In consultation with AM Legal and Compliance as needed, the MRG will review materials applying both regulatory and Deutsche Bank requirements in their review
  • The MRG staff must have a reasonable degree of product knowledge that includes a basic understanding of mutual funds, ETFs, private equity funds, retirement services, etc
  • As needed, MRG members will familiarize themselves with other products and solutions (for example- Wealth Management)

Daily Responsibilities:

  • Review and approval of advertisements, marketing materials, sales literature and other correspondence
  • Filing of documents with FINRA Advertising Review Committee
  • Maintenance of all reviewed documents
  • Collaboration with internal partners/Legal/Compliance/provide guidance for review of new products, new regulations, etc

Skills Required:

  • Series 7 and 24
  • Experience with and ability to handle a fast paced and demanding work environment
  • Ability to work both independently and as part of a team
  • Interpersonal skills to interface with various business units
  • Strong analytical and decision making skills
  • Strong attention to detail
  • Strong project management skills
  • Ability to communicate issues to senior management in an effective and succinct manner
  • High proficiency in written and oral communication skills
  • Strong practical experience using of Microsoft Word, Excel, PowerPoint and SharePoint

Education:

  • Bachelor's degree