Regulatory Compliance Associate

We are partnering with a leading global investment firm to appoint a Regulatory Compliance Associate, based in New York. This is a broad, hands-on role within a lean compliance function, covering marketing and communications review, surveillance, regulatory filings, registrations, testing and policy development. You will join a global platform, gain broad exposure and work closely with stakeholders not only in Compliance and Legal, but the wider business. Key Responsibilities Review marketing materials, investor communications, press releases and social media content Prepare and support SEC and FINRA regulatory filings Support licensing and registrations for regulated personnel Develop, update and implement compliance policies and procedures Execute compliance monitoring and testing Develop and deliver employee training Administer the firm’s electronic compliance training platform Monitor regulatory developments and assess their impact on the business Requirements 2 - 4 years of compliance experience within financial services Direct compliance experience supporting a FINRA-registered broker-dealer or adjacent platforms Hands-on marketing and communications review experience Working knowledge of FINRA rules and the Investment Advisers Act Series 7 and 24 licenses, or willingness to obtain them within six months Strong judgment, problem-solving and communication skills Ability to work independently and manage multiple responsibilities A collaborative and adaptable approach suited to a lean team #J-18808-Ljbffr