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M&T Bank Compliance Marketing Review Manager in Radnor, Pennsylvania

Overview:

Under direction, supervises the Marketing Review Group’s review and approval of all Wealth marketing and advertising materials to ensure compliance with applicable regulatory requirements and internal Wealth policies. Engages with Asset Management, Product, Marketing, Risk, Legal and Compliance partners across the organization as a subject matter expert (SME) for pertinent Financial Industry Regulatory Authority (FINRA) and U.S. Securities and Exchange Commission (SEC) marketing and advertising rules. Completes first line of defense risk management responsibilities related to the Wealth marketing review process in accordance with the Enterprise Risk Framework.

Primary Responsibilities:

Manage a team that reviews and approves all Wealth marketing and advertising materials to maintain productivity and address identified issues. Maintain workflow of the assigned team to ensure work gets completed timely, accurately, and consistently.

Ensure Wealth’s marketing and advertising materials are compliant with regulatory rules and internal requirements.

Consult with business and control partners on marketing and advertising regulatory issues involving marketing and advertising materials, tools, initiatives, projects, platforms, etc.

Maintain a strong service orientation by establishing and maintaining relationships with peers, senior management and internal partners and colleagues to support communication efforts.

Coordinate the review of Wealth’s marketing materials by working with Legal and second line Compliance as required.

Participate in projects as a SME to enhance Wealth’s compliance programs and processes.

Write and deliver training on regulatory marketing compliance issues to business partners to educate Wealth employees on updates related to marketing, performance, and sales materials.

Exercise usual authority of a manager concerning staffing, performance appraisals, promotions, salary recommendations, performance management and terminations.

Understand and adhere to the Company’s risk and regulatory standards, policies, and controls in accordance with the Company’s Risk Appetite. Design, implement, maintain, and enhance internal controls to mitigate risk on an ongoing basis. Identify risk-related issues needing escalation to management.

Promote an environment that supports diversity and reflects the M&T Bank brand.

Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.

Complete other related duties as assigned.

Scope of Responsibilities:

This position’s purpose is to oversee the team that review the marketing and advertising materials used across Wealth to ensure materials comply with regulatory requirements.

Supervisory/Managerial Responsibilities:

No. of Staff - 2

Education and Experience Required:

Bachelor’s degree and a minimum of 7 years' relevant work experience, or in lieu of a degree, a combined minimum of 11 years' higher education and/or work experience, including a minimum of 7 years' relevant work experience

Minimum of 2 years’ managerial, supervisory and/or work leadership experience

Education and Experience Preferred:

FINRA Series 7 and 24 licenses

Excellent listening skills

Excellent interpersonal skills

Excellent communication skills

Excellent persuasion skills

Knowledge of the rules and regulations of FINRA, the Investment Advisors Act, and the Investment Company Act relating to marketing and advertising

Prior experience working independently

Prior experience prioritizing multiple tasks

Prior experience working under pressure

Detail-oriented

Prior experience shifting priorities to meet tight deadlines

Strong service orientation

Physical Requirements:

M&T Bank is committed to fair, competitive, and market-informed pay for our employees. The pay range for this position is $110,673.13 - $184,455.22 Annual (USD). The successful candidate’s particular combination of knowledge, skills, and experience will inform their specific compensation.

Location:

Radnor, Pennsylvania, United States of America

M&T Bank Corporation is an Equal Opportunity/Affirmative Action Employer, including disabilities and veterans.

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