Rho

Marketing Compliance Manager

Rho

full-time

Posted on:

Origin:  • 🇺🇸 United States • Utah

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Salary

💰 $108,000 - $182,000 per year

Job Level

Mid-LevelSenior

About the role

  • Reviewing and approving marketing materials for accuracy, clarity, and compliance with regulations for all Rho products and services
  • Developing and maintaining a central repository for all disclosures for all products and services
  • Conducting audits of marketing activities to ensure compliance
  • Developing and delivering training programs on marketing compliance
  • Investigating complaints related to marketing practices
  • Managing marketing compliance, technology, and systems
  • Assisting with the development of marketing compliance policies and procedures
  • Working with external counsel on legal and regulatory matters
  • Significant contact with Executives and Cross-functional colleagues; ensure Rho is compliant with all U.S. banking regulations and company policies and procedures

Requirements

  • 5+ years managing a similar compliance function with a strong, “SME status” understanding and focus on Marketing and Treasury regulations within the banking, fintech, or financial services industry
  • Deep knowledge of Investment Advisers Act of 1940, SEC Marketing Rule 206(4)-1, Form ADV compliance, and Books and Records Rule 204-2, with hands-on experience navigating SEC examinations and enforcement actions
  • Expertise in performance advertising regulations, disclosure requirements, and time-weighted return calculations for registered investment advisor marketing materials and client communications
  • Strong understanding of marketing regulations and laws, such as advertising standards, data privacy regulations, and consumer protection laws related to checking accounts, savings accounts, Treasury products, etc.
  • Experience collaborating on decisions and solutions with a team of marketing professionals and working with Executives and Cross-functional stakeholders to drive solutions
  • Ability to lead from the front and execute in a fast-paced environment
  • Excellent communication and interpersonal skills
  • Analytical and problem-solving skills
  • Ability to work independently and as part of a team
  • Attention to detail and strong organizational skills
  • Experience in marketing, legal, or compliance roles is preferred
  • Excellent analytical skills with the ability to identify issues, analyze data, and make sound recommendations
  • Ability to meet strict regulatory requirements while balancing product and customer experience
  • Ensure Rho is compliant with all U.S. banking regulations and company policies and procedures
  • Willing and able to work from local office 5 days/week (application requirement)
  • Legal authorization to work in the US; applicants must answer visa sponsorship question on application