Marketing Compliance Analyst - Investment Advisers
NewEdge Capital Group
NewEdge Wealth, a division of NewEdge Capital Group, LLC, seeks a Compliance Associate to support the firm’s investment adviser compliance program, focusing on marketing and advertising review under the SEC Marketing Rule and the annual review under Rule 206(4)-7. The role collaborates with Compliance, advisors, and marketing to ensure client communications and disclosures meet SEC standards. Responsibilities include reviewing materials for regulatory compliance, maintaining tracking logs, #J-18808-Ljbffr NewEdge Capital Group
Vacancy posted 3 days ago
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