Associate, Compliance Marketing Review

Posted today

retained searchGreenwich (CT)

Compliance Managers Investment Banking and Securities Intermediation

SENIORITY

Lead

SALARY

$130,000 - $150,000

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About the role

Our client, a leading global investment management firm, is conducting a retained search for an Associate, Compliance Marketing Review professional to join its compliance team in Greenwich, Connecticut. This individual will play a critical role in supporting global marketing and business development initiatives by reviewing a broad range of marketing, advertising, and client-facing materials to ensure compliance with applicable regulatory requirements and internal standards. The position offers significant exposure to investment professionals, business leaders, and diverse investment strategies and products.

Key Responsibilities: Review and approve marketing materials, client communications, presentations, research publications, website content, social media materials, and other external communications. Evaluate marketing content for compliance with SEC Marketing Rule (Rule 206(4)-1), FINRA Rule 2210, and applicable global regulatory requirements. Review and advise on performance-related disclosures, including hypothetical and back-tested performance information. Partner with investment, legal, compliance, and business development teams to provide practical guidance on advertising and marketing regulations. Interpret regulatory developments and communicate actionable compliance guidance to internal stakeholders. Assist with the development, implementation, and enhancement of compliance policies and procedures. Deliver training and educational resources regarding marketing compliance requirements and industry best practices. Monitor evolving regulatory developments and contribute to ongoing compliance risk management initiatives.

Qualifications:

Bachelor’s degree required.
Minimum 3-5 years of experience reviewing marketing and advertising materials within an investment adviser, asset manager, broker-dealer, or similar financial services environment.
Active Series 7 and Series 24 licenses required.
Strong knowledge of:
SEC Marketing Rule (Rule 206(4)-1)
Investment Advisers Act advertising requirementsFINRA Rule 2210 Performance advertising standards, including hypothetical and back-tested performance reviews
Excellent written and verbal communication skills.
Strong organizational skills and attention to detail.
Ability to provide practical, risk-based compliance advice in a fast-paced environment.
Proven ability to manage multiple priorities and work independently while collaborating across teams.

Compensation: Base salary is expected to range from $130,000 - $150,000, plus eligibility for an annual discretionary bonus and a competitive benefits package. This is an excellent opportunity for a compliance professional seeking to join a sophisticated investment management platform and work closely with senior stakeholders in a dynamic and intellectually rigorous environment.

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