Marketing Compliance Manager

About the position

We're looking for an experienced, hands-on Marketing Compliance Manager to help build out our existing marketing compliance program and ensure Rho's advertising and promotional activities adhere to legal and regulatory standards and internal policies. This role involves reviewing marketing materials, monitoring campaigns for compliance risks, and providing guidance on relevant regulations. This person will have significant contact with Executives and Cross-functional colleagues, and ensure that Rho is compliant with all U.S. banking regulations and company policies and procedures.

Responsibilities

• 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

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
• Highly detail-oriented with strong organizational skills
• Ability to meet strict regulatory requirements while balancing product and customer experience

Benefits

• Equity
• Healthcare benefits
• Paid time off