Reporting to the Chief Compliance Officer, North America and working closely with the Associate Director of Compliance in charge of Distribution Compliance, the Compliance Manager, Marketing is responsible for leading the firm’s US Marketing Compliance Program and for developing and supporting policies, procedures and controls to ensure that Impax complies with applicable rules and regulations related to marketing and advertising.
Will be responsible for establishing/applying expertise in US marketing requirements, working closely with UK counterpart as well as third-party mutual fund distributor and outside counsel for all internally-generated marketing materials for both mutual fund and advisory clients.
- Manage the day-to-day operations of the Firm’s marketing compliance program, including directly overseeing reviews of advertising and marketing materials, and monitoring marketing activities and related operational practices to promote compliance with internal policies, applicable rules and regulations.
- Work closely with Marketing and Sales colleagues and third-party distribution partners to develop policies, procedures and controls to assist with efficient functioning of marketing materials delivery and workflows.
- Collaborate globally with colleagues to support marketing initiatives, material reviews, and to ensure compliance with global marketing standards.
- Contribute to the risk-based review objectives, scope and testing strategies to assess adequacy and effectiveness of marketing compliance program policies and controls.
- Assist with the development of targeted training content and the delivery of training to employees.
- Successful establishment as primary contact/resource for all marketing-related compliance matters
- Formation of policies, procedures and tools to enable efficient response to and functioning of compliance needs of US marketing team
- Assumption of Registered Principal role for US mutual fund related distribution compliance, within 18 months of hiring
- Minimum 5+ years of experience in compliance roles within an investment adviser organization.
- Bachelor’s degree, preferably with a concentration in law, business, finance or accounting
- Understanding of securities laws, rules and regulations applicable to registered investment advisers, SEC-registered mutual funds and private fund offerings, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Regulation D and the SEC Advertising Rule.
- Series 7 and 63 required, 24 preferred (or willingness to achieve within 12 months of employment)
- Ability to conduct compliance marketing review on Firm and 1940 Act Registered Funds marketing materials to promote compliance with the SEC Advertising Rule
- Can comprehend and effectively communicate technical regulatory requirements to team members across the broader organization, including senior management
- Self-motivated, with strong organizational and time management skills
- Ability to handle and prioritize multiple tasks in a time-sensitive environment
- Understands the necessity to adequately document all work and is detail-oriented.
- Ability to work both independently and as part of a team
- Enthusiasm for the mission of the company and for its diverse and inclusive culture
Founded in 1998, Impax is a specialist asset manager investing in the opportunities arising from the transition to a more sustainable global economy.
Impax believes that capital markets will be shaped profoundly by global sustainability challenges, including climate change, pollution and essential investments in human capital, infrastructure and resource efficiency. These trends will drive growth for well-positioned companies and create risks for those unable or unwilling to adapt.
Impax offers a well-rounded suite of investment solutions spanning multiple asset classes seeking superior risk-adjusted returns over the medium to long term. Impax manages funds and accounts in five areas: actively managed long-only equity, fixed income, systematic equities, multi asset, and new energy infrastructure.
Impax has six offices in the United Kingdom, the United States, Ireland and Hong Kong, and with more than $50 billion in assets under management and advice has one of the investment management sector’s largest investment teams dedicated to sustainable development.
We are committed to high standards of corporate social responsibility, both in our investment approach and in the way we try to conduct our own business. We prioritise goals in equity, diversity and inclusion in our work environment. All qualified applicants will receive consideration for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.
For further details, please visit our website: www.impaxam.com
Values Focus/Aligned Attributes:
- Be the solution
- Passion for excellence
- All voices heard
- Doing better together
- Building a common Future
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