Hunt Valley, Maryland, RagingBull.com, LLC (“RagingBull”) has an exciting opportunity for an Associate Compliance Counsel, with a focus on Marketing and Media, to continue to grow a culture of risk and compliance awareness, recommending policy and procedures, proactively reviewing marketing and sales materials and auditing our compliance program. The ideal candidate will have solid experience specializing in FTC compliance, a working knowledge of SEC securities regulation, and the ability to research and interpret new rules and regulations. The position may be located in Hunt Valley, MD, Portsmouth, NH or potentially on a remote basis.
In addition, this candidate will have an understanding of the trading functions of the financial services industry, ability to prioritize a high volume of reviews, excellent communication and interpersonal skills, and must work well both independently and as part of a team. Demonstrated organizational and time management skills in a fast-paced, high energy environment required.
RagingBull is a fast growing investor education company; based in the seacoast of New Hampshire with an office in Hunt Valley, MD. Through our premier educational platform, we teach subscribers trading strategies that will allow them to make better and smarter trading decisions. In 2019, RagingBull was recognized as an INC. 5000 company and was one of the fastest growing companies in New Hampshire.
The Associate Compliance Counsel will report to the General Counsel & CCO and be responsible for advising internal clients and will assist in managing outside counsel on marketing, advertising compliance and commercial transactions, as well as contracts and projects related to brand, advertising, and intellectual property development and protection.
This position will be responsible for reviewing and approving communications related to Sales and Marketing, including, but not limited to: marketing materials, custom requests, factsheets, PowerPoint presentations, due diligence questionnaires, email content, website content, video productions, webcasts, and all electronic and other communications.
The Associate Compliance Counsel will also work with the sales and customer service teams to address customer-specific related items. Responsibilities also include developing policies and procedures as well as providing internal training on compliance rules and regulations. RagingBull retains the right to change or assign other duties to this position.
Responsible for developing, implementing and maintaining compliance monitoring, risk assessments, reporting, testing, tracking and applying regulatory priorities as well as industry best practices.
Serve as an internal resource on industry regulations and guidelines regarding sales and marketing activities.
Develop and implement effective policies and procedures for reviewing marketing and sales communications in all media forms.
Provide IP support on production, content and marketing, including drafting and negotiating copyright, trademark and other production-related agreements
Assist teams with legal advice on marketing across broad areas, including ad products, ad-tech, insights, and consumer facing marketing to ensure compliance with advertising, IP, competition, privacy, data protection and consumer protection laws and regulations, as well as other legal requirements
Remain current and anticipate changes in the regulatory environment and/or risks to the reputation of the Company.
Provide training for leadership and employees regarding compliance policies procedures and regulatory requirements.
Monitor the effectiveness of established compliance processes and controls and recommend and implement enhancements.
Review and draft commercial and employment contracts as required
Provide litigation support
Maintain discretion with regard to the handling of sensitive information
Complete special projects, miscellaneous assignments and other duties as assigned
Travel required, estimated at 20%-30%, to various locations including but not limited to, remote and office locations, conferences, company meetings, training sessions, etc.
D. degree and membership in at least one US state bar
3+ years of marketing attorney experience
Knowledge of laws governing advertisements (claim substantiation, false advertising, IP) and fundamental knowledge of SEC securities trading laws
Experience with compliance policies and procedures for reviewing advertising, marketing, sales and promotional communications in all media forms
Knowledge of privacy, data protection and consumer protection requirements
Experience working collaboratively with cross-functional stakeholders, thinking strategically, and prioritizing while multitasking
JD from accredited law school; must be licensed to practice law, preferably in New York or California.
3-5+ years of experience related to FTC compliance review of relevant sales and marketing materials and knowledge of FTC Telesales regulations.
Strong working knowledge of domestic and international laws and regulations governing advertising (e.g., false advertising, claim substantiation, fair use and rights of publicity) as well as experience with copyright, trademark, general intellectual property and privacy issues
Understanding of financial services industries and fundamental SEC securities trading laws
Direct experience implementing, monitoring and auditing compliance procedures.
Knowledge about the consumer tech, social media, product placement and web-based marketing
Superior critical thinking skills, with a bias for action and confidence to make informed decisions that have both legal and business implications
Excellent communication and interpersonal skills, with an aptitude for working cross-functionally
Able to prioritize and execute on a number of projects at once
Detail and deadline oriented with the ability and desire to operate effectively in a fast-paced environment.
Must be comfortable working with colleagues in different geographic regions and/or different time zones.
Potential for discretionary performance bonus