Compliance & Marketing Review Associate
newedge capital groupHartford (CT)
Compliance & Marketing Review Associate
Posted yesterday
newedge capital groupHartford (CT)
Securities, Commodities, and Financial Services Sales AgentsPortfolio Management and Investment Advice
SENIORITY
Mid
About the role
NewEdge Wealth, a division of NewEdge Capital Group, LLC, seeks a detail-oriented Compliance Associate to support the firm's investment adviser compliance program, focusing on marketing review, annual compliance testing, and Form ADV maintenance. The role collaborates with Compliance, advisors, and marketing staff to ensure client communications, disclosures, and firm policies meet SEC standards for a registered adviser serving UHNW clients.
Before you apply
Applying takes about a minute. These four things decide how fast it moves after that.
Your profile is current
It's what we read first. Occupations, seniority and locations matter more than a long history.
Two examples you can talk through
Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.
A number in mind
What you're on now and what would make you move. We negotiate better when we know both.
Your notice period
Employers plan around it, and it's the question that stalls offers most often.
Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.
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