Compliance Associate: Marketing & Advertising Review
$100k - $155kCyperus Group LLC
A prominent Investment Management firm in NYC is seeking a Compliance Associate. The ideal candidate will possess 3-5+ years of experience in Financial Services Compliance, specifically with Advertising & Marketing materials. Required qualifications include a college degree and Series 7 & 24 licenses. This full-time role offers a competitive salary range of $100,000-$155,000 annually along with an annual bonus. #J-18808-Ljbffr Cyperus Group LLC
$200k - $250k
...concrete, long-term results by looking past market noise to identify and isolate the... ...-oriented professional to join our Compliance Marketing Review team at the Vice President level. The... ...professionals regarding compliant advertising and performance reporting practices....Suggested$80k - $115k
...seeking someone to join our team as a Compliance Associate in Wealth Management Compliance to... ...EquityZen and our quickly growing Private Markets business as we build compliant,... ..., securities law matters, and the review of advertising and marketing materials. Proactively...SuggestedTemporary work$100k - $120k
...Apollo is seeking an Analyst or Associate to join the Compliance team within Legal, Regulatory,... ...support the firm’s global marketing compliance program by reviewing external communications and partnering... ...guidance impacting marketing, advertising, and distribution activities....Suggested$90k - $125k
Job Description: Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance Department in New York... ...strong relationship management skills. Responsibilities: Review marketing and advertising materials for proprietary and third‑party funds and...SuggestedWork experience placement$140k - $160k
SupportFinity™ is seeking a Compliance Reviewer to oversee regulatory compliance for marketing and communications. The candidate should have 3-5 years of experience in compliance, legal, marketing, or financial services and be able to manage multiple tasks. The position...Suggested$100k - $175k
The Compliance Specialist will be involved in various... ...working closely with our marketing and distribution... ...compensation package. Associates may be eligible for a... ...correspondence, sales literature, advertisements, institutional... ...regulations Review complex materials in...Work at office- A consulting firm is looking for a Compliance Assistant for a 6-month contract in Newport Beach, CA. The role involves reviewing surveillance reports, performing forensic market-abuse alerts, and supporting compliance projects. Candidates should have an undergraduate degree...Contract work
$50 per hour
...Description Job Description Temporary Marketing Compliance Analyst This is a temporary part... ...by leading and coordinating the review of promotional and advertising materials to ensure conformance... .... Regardless of race, traits associated with race, color, ancestry,...Hourly payPermanent employmentTemporary workPart timeFixed term contractImmediate startWork visaShift work$170k - $220k
...advisory support to our Global Markets businesses conducted through... ...within a substituted compliance regime. The candidate should... ...matters escalated for legal review. The candidate will be a good... ...FINRA) and the National Futures Association (NFA). The major responsibilities...Local areaRemote workFlexible hours- ...part of Risk Management and Compliance, you are at the center of keeping... .... As a Quant Modeling Associate Senior within the Risk Management... ...(e.g., CFPB, OCC). Review and assess business policies,... ...risk to human resources and marketing. Our corporate teams are an essential...Work at office
$255k
What You’ll Be Doing The US Fixed Income Compliance Officer oversees the U.S. Fixed Income... ...regulatory matters within U.S. Capital Markets. Responsibilities Manage the Fixed Income... ..., standards, guidelines, and controls. Review work of others to ensure adherence with...Work at office- Alphasense in New York is seeking a Compliance Analyst to support their compliance review team. This role involves reviewing expert call transcripts and conducting... ...team committed to empowering professionals with AI-driven market intelligence. #J-18808-Ljbffr Alphasense
$81.4k - $151.8k
The Capital Markets Senior Compliance Officer will assist in the effective implementation, maintenance... ...and reporting. Conduct surveillance reviews and evaluate accuracy, reliability... ...produced. Identify potential issues associated with surveillance tools and process enhancements...Contract workPart timeLocal area- PowerToFly is seeking a Compliance Associate in Wealth Management Compliance to support EquityZen’s Private Markets business. This role involves developing scalable products while ensuring alignment with regulatory requirements and effective risk management. The ideal candidate...
- Compliance Officer (New York, NY): Our client is a leading global alternative investment manager with a sophisticated institutional... ...who will play a key role in managing and enhancing the firm’s marketing review, distribution compliance, regulatory reporting, testing,...
- Overview Compliance Specialist (High Ticket Sales) - Join to apply for the Compliance Specialist... ...highest standards of integrity in our advertising, marketing, sales, and operational practices. We... ...Advertising & Marketing Compliance: Review and approve promotional campaigns,...Full timeContract workFixed term contractRemote workWorldwideFlexible hours
$100k - $145k
...technology and healthcare growth, is currently looking to hire a Compliance Associate with 1 - 5 years of compliance experience within the... ...accurate filing of all regulatory reports; Assist in the review of marketing materials and RFPs; Perform daily surveillance of e-...Full timeCurrently hiringRemote workFlexible hours- ...Compliance Associate (New York, NY): Our client, the asset management business (over $50B in assets across a variety of strategies... ...Acquire a comprehensive understanding of the SEC Marketing Rule to assist in reviewing marketing materials, social media, and investor...Full time
$100k - $155k
...Overview Position: Compliance Associate. Overview: A top Investment Management firm in NYC is searching for a Compliance... ...- at least some of those years are doing Advertising & Marketing materials Compliance review and approvals. Series 7 & 24 is also required. Responsibilities...Full time- ...Compliance Associate (New York, NY): A leading private equity firm with more than $10B in assets under... ...program. Broad exposure across the private markets compliance landscape, including records management, testing, contract review, and regulatory initiatives. High...Contract workWork at office
$40 per hour
...Lawyers on Demand (LOD) is seeking a Compliance Associate to support one of our global clients in... ...Responsibilities: Assist CCO with compliance reviews, testing, and management reporting.... ...similar reviews. Review and approve marketing materials and other public...Hourly payContract workTemporary workWork at officeRemote workMonday to FridayFlexible hoursShift work$110k - $150k
...Title: Compliance Analyst / Compliance Associate Firm: Global Private Equity Firm ($75B+) Location: New York, NY... ...to SEC filings, examinations, and marketing rule compliance Collaborative, business... ...compliance consultants on periodic reviews and examinations Support...- ...Alternative Asset Manager seeks Associate to join their Compliance team in New York. Responsibilities Compliance... ...testing program. Perform periodic reviews of employee activities including... ...and annual compliance certifications. Marketing & Communications Review Review...
- ...Responsibilities Manage day-to-day operations of the compliance program, including maintaining policies,... ...quarterly compliance testing and annual review processes Provide oversight of expert... ...-party consultant interactions Review marketing materials, investor communications, and...
$120k - $150k
Overview Job Overview - Compliance Associate (Private Equity) Compensation: $120,000 - $150,000/year... ...Ethics monitoring, personal trading reviews, and quarterly certifications.... ...experience within private equity, private markets, or investment advisory environments....Work at officeMonday to Friday- The Compliance Review Specialist is responsible for supporting Heartshare’s regulatory and billing compliance efforts. This role conducts audits, monitors corrective measures, ensures documentation accuracy, and supports adherence to Federal, State, City and Agency regulatory...Full timePart timeWork at officeFlexible hours
- Alphasense-India is looking for a Compliance Analyst to join our growing team. The role involves reviewing expert call transcripts to protect sensitive information while providing vital compliance support across global operations. Successful candidates will have 1-2 years...
- Heartshare is seeking a Compliance Review Specialist in New York to support regulatory and billing compliance efforts. This role involves conducting audits, ensuring documentation accuracy, and supporting adherence to various regulatory standards. Ideal candidates will...
$120k - $130k
...position supports the US CIB Corporate Compliance team in governance, compliance monitoring... ...Regulatory Exams and/or Internal Audit reviews, supporting the tracking and follow‑up of... ...where applicable, certifications obtained. Market and organizational factors are also...Work at officeLocal area- Glocap Search is seeking an Associate to join their Compliance team in New York. This role involves supporting compliance monitoring, regulatory filings, and marketing material reviews. The ideal candidate has over 5 years of experience in compliance within financial services...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Associate: Marketing & Advertising Review. Be the first to apply!
- financial compliance analyst New York, NY
- senior regulatory affairs specialist New York, NY
- regulatory affairs consultant New York, NY
- regulatory compliance specialist New York, NY
- trade compliance specialist New York, NY
- legal compliance analyst New York, NY
- human resources compliance specialist New York, NY
- research compliance officer New York, NY
- regulatory specialist New York, NY
- coding compliance specialist New York, NY


