Senior Manager, License Compliance
Tanium
Marketing Compliance Manager
Rho
full-time
Posted on:
Location: Utah • 🇺🇸 United States
Visit company websiteSalary
💰 $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
