Marketing Reviewer - Assistant Vice President
Marketing Reviewer - Assistant Vice President
Job ID: 3173796
Location: Jacksonville, United States of America
DWS Group GmbH & Co. KGaA (DWS) is one of the world's leading asset managers with EUR 700bn of assets under management (as of 31 Dec 2017). Building on more than 60 years of experience and a reputation for excellence in Germany and across Europe, DWS has come to be recognized by clients globally as a trusted source for integrated investment solutions, stability and innovation across a full spectrum of investment disciplines.
We offer individuals and institutions access to our strong investment capabilities across all major asset classes and solutions aligned to growth trends. Our diverse expertise in Active, Passive and Alternatives asset management - as well as our deep environmental, social and governance focus - complement each other when creating targeted solutions for our clients. Our expertise and on-the-ground-knowledge of our economists, research analysts and investment professionals are brought together in one consistent global CIO View, which guides our strategic investment approach.
DWS wants to innovate and shape the future of investing: with staff from 35 nationalities, speaking more than 75 languages rooted in 22 countries, we are local while being one global team.
Job Title: Marketing Reviewer
Corporate Title: Assistant Vice President
Location: Jacksonville, FL
About Deutsche Bank
We are Germany's leading bank with strong positions in Europe and significant presence in the Americas and Asia Pacific. We're driving growth through our strong client franchise, investing heavily in digital technologies, prioritizing long-term success over short-term gains, and serving society with ambition and integrity. We serve our clients' real economic needs in commercial and investment banking, retail banking and transaction banking, and provide ground-breaking products and services in asset and wealth management. That means a career packed with opportunities to grow and the chance to shape the future of our clients.
Overview of Marketing Review Group (MRG)
The Marketing Review Group (MRG) is responsible for the review and approval of marketing material and communications for Asset Management. We complete the review and provide approval of all materials for consistency with internal firm policies and as applicable per regulatory standards.
In addition, the MRG serves as the central record keeper that maintains copies and background for these materials, and also provide support with reporting, record keeping, regulatory filings and work flow maintenance.
Key objectives/goals of MRG:
- Review and provide compliance guidance about the product marketing and training materials (including mutual funds, ETFs, separately managed accounts, private equity funds, retirement services, etc) produced by the asset management business channels
- To become a subject matter expert regarding marketing and communications related regulatory guidelines (including FINRA, SEC, GIPS, etc)
- Assist with developing, revising and implementing policies and procedures regarding advertising review activities and regulatory developments. Complete oversight of business units' compliance with marketing materials policies
- Monitoring all submissions of materials in timely fashion and ensure the quality of the submissions
- Filing of material - complete regulatory filing of material with FINRA
- Special projects, maintain team updates for reporting, maintain team review statistics, CRS (Compliance Review system) functionality and enhancements, resolve issues and provide solutions
- MRG staff members must possess previous relevant compliance or audit experience within an Asset Management firm and have the knowledge to effectively review marketing and advertising materials
- MRG staff must be familiar with FINRA rules and regulations as well as knowledge of the Adviser's Act and applicable banking regulations
- In consultation with AM Legal and Compliance as needed, the MRG will review materials applying both regulatory and Deutsche Bank requirements in their review
- The MRG staff must have a reasonable degree of product knowledge that includes a basic understanding of mutual funds, ETFs, private equity funds, retirement services, etc
- As needed, MRG members will familiarize themselves with other products and solutions (for example- Wealth Management)
- Preferably will have a working knowledge of FINRA's AREF system and filing procedures
- Review and approval of advertisements, marketing materials, sales literature and other correspondence
- Filing of documents with FINRA Advertising Review Committee
- Maintenance of all reviewed documents
- Collaboration with internal partners/Legal/Compliance/provide guidance for review of new products, new regulations, etc
- Series 7 and 24
- Experience with and ability to handle a fast paced and demanding work environment
- Ability to work both independently and as part of a team
- Interpersonal skills to interface with various business units
- Strong analytical and decision making skills
- Strong attention to detail
- Strong project management skills
- Ability to communicate issues to senior management in an effective and succinct manner
- High proficiency in written and oral communication skills
- Strong practical experience using of Microsoft Word, Excel, PowerPoint and SharePoint
- Bachelor's degree
For candidates applying for positions in the US:
Deutsche Bank is an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the "EEO is the Law" poster and pay transparency statement.
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