Home Compliance Manager (Advertising and Review) at Black Creek Group (Denver, CO)

    Compliance Manager (Advertising and Review) at Black Creek Group (Denver, CO)

    At Black Creek Group, we invest in real estate from the ground up, building by building, scrutinizing and managing every aspect of every investment and seeking to create value for our shareholders. For more than 25 years, Black Creek’s investment professionals have developed, acquired, operated, financed, and sold commercial and residential real estate in the United States and Mexico through our wide range of investments.

    Black Creek Group’s real estate investment solutions have been distributed through Black Creek Capital Markets, LLC (BCCM) through banks, financial planning firms and brokerage firms since 2002. BCCM is currently seeking a dynamic candidate to oversee and manage the advertising and marketing material review process. This person will play a key support role within the Compliance team and report directly to the Chief Compliance Officer. He/she will primarily serve as a liaison between outside counsel, the office of the General Counsel, Marketing, and Compliance and will be accountable for the day-to-day review of communications with the public; ensuring that all communications comply with federal and state regulatory standards.

    Responsibilities

    The Compliance Advertising Review Manager will be responsible for reviewing marketing material content to ensure compliance with internal and regulatory requirements. Responsibilities include:

    • Principal review and commentary on sales and advertising literature
    • Provide ongoing updates and clear communication to assigned outside counsel
    • Ensure clear communication is shared internally to update and maintain compliance procedures
    • Research regulations and industry developments and create reports for internal and external use
    • Participate in regulatory and corporate audits for advertising compliance.
    • Update and maintain complete and accurate policies, procedures, compliance logs or files.
    • Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives
    • Research, analyze and interpret current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to the organization
    • Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices
    • Determine whether regulatory filings of advertising is required and coordinate as needed
    • Other broker-dealer compliance related activities as requested.
    • Additional ad hoc duties and projects may be assigned based on business need

    Qualifications

    • Bachelor’s degree or equivalent work experience required (3-5+ years reviewing marketing material for an investment advisor or broker/dealer)
    • Minimum 3 years of experience in the principal ad review of mutual fund, ETF and/or private fund sales material preferred
    • Series 7 required
    • Series 24 preferred and/or required within 6 months of hire
    • Knowledge of SEC, FINRA, and other regulatory requirements related to broker-dealers and financial institutions
    • Must be able to manage multiple tasks simultaneously
    • Ability to work independently and problem solve with little to no supervision
    • Strong analytical skills
    • Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience.
    • Knowledge and experience working in or with broker-dealers or investment advisers strongly preferred

    Company: Black Creek Group
    Location: Denver, CO

    Application Instructions:
    For more information on how to apply please click here.