Compliance Associate

Overview

• Join a leading asset management firm as a Compliance Advertising and Marketing Associate.
• Ensure compliance with industry regulations, including FINRA and SEC guidelines.
• Collaborate with marketing and control teams to improve compliance processes.
• Review and approve advertising literature for registered products and SMA’s.
• Stay current with regulatory changes impacting advertising compliance standards.
• Work in a dynamic environment with opportunities for professional growth.
• Contribute to the firm’s advertising compliance strategy and reputation.
• Participate in special projects to enhance compliance processes.

Key Responsibilities & Duties

• Review retail and institutional communications for compliance with firm and industry rules.
• Develop and maintain guidelines for advertising compliance reviews.
• Track advertising and sales literature per industry record retention requirements.
• Respond to inquiries regarding regulatory requirements and advertising compliance.
• Collaborate with teams to identify and implement process improvements.
• Research and respond to comments from FINRA regarding advertising materials.
• Serve as the primary contact for advertising compliance issues with FINRA analysts.
• Assist in projects to enhance advertising compliance review processes.
• Maintain expertise in regulatory changes impacting advertising compliance.

Job Requirements

• Bachelor’s degree in a relevant field is required.
• FINRA Series 7 and 24 licenses are mandatory.
• Minimum of 4 years of experience in asset management and securities law.
• Preferred 2 years of experience in reviewing marketing materials.
• Knowledge of Investment Company Act of 1940 and FINRA regulations.
• Familiarity with advertising review systems like Red Oak is a plus.
• Strong analytical, organizational, and communication skills.
• Ability to manage high volumes of work under tight deadlines.
• Capability to work independently and collaboratively in a team environment.