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
$110k - $150k
...right place to build a fulfilling career. Join us as a Compliance Officer-Marketing Review Brown Brothers Harriman is currently recruiting a... ...in regulatory requirements that apply to marketing and advertising, specifically, a deep understanding of the Investment...SuggestedLocal area$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
Marketing Compliance Analyst/Associate page is loaded## Marketing Compliance Analyst/Associatelocations: New... ...marketing compliance program by reviewing external communications and partnering... ...and guidance impacting marketing, advertising, and distribution activities*...Suggested$90k - $125k
...("Oppenheimer") is a leading middle-market investment bank and full service broker... ...Oppenheimer & Co. Inc. is seeking a Compliance Professional to join our Compliance... .... Responsibilities: Review marketing and advertising materials for proprietary and third-...SuggestedWork experience placement$110k - $120k
...research and span public and private markets, across all major asset classes,... ...role We are looking for a Marketing Compliance Analyst to review and approve all communications to the... ...1940 as it relates to marketing and advertising Proficient in the rules and requirements...Full timeLocal areaFlexible hours$325k - $375k
New York Capital Markets & Corporate Compliance Associate Location: New York City, NY (up to 40% remote) Experience: 3+ Years PQE | Capital Markets &... ...periodic reports (10-K, 10-Q, 8-K, 20-F, 6-K) Prepare and review proxy statements and materials for shareholder meetings...Work at officeRemote workFlexible hours- ...leading financial services firm in New York is seeking an Associate in Compliance to implement and maintain compliance policies and controls.... ...for mitigating compliance risks across the Global Banking & Markets Equities Prime Services business. The ideal candidate should...
- ...Framework Ventures is seeking a candidate for a compliance role focused on regulatory marketing filings and materials management. Responsibilities include assisting with the day-to-day operations of marketing compliance and monitoring to promote adherence to policies....
$110k - $120k
A global investment management firm in New York is seeking a Marketing Compliance Analyst. The successful candidate will be responsible for reviewing and approving communications to the public, ensuring compliance with regulatory guidelines. The role requires 1-2 years...Flexible hours- ...Overview Compliance Specialist (High Ticket Sales) – Join to apply for the Compliance... ...highest standards of integrity in our advertising, marketing, sales, and operational practices. We... ...Responsibilities Advertising & Marketing Compliance: Review and approve promotional campaigns,...Full timeContract workFixed term contractRemote workWorldwideFlexible hours
$110k - $150k
Brown Brothers Harriman is seeking a Compliance Officer - Marketing Review in New York. This role involves independently reviewing firm communications to ensure compliance with laws like the Investment Advisers Act of 1940. Ideal candidates will have a Bachelor’s, MBA,...$325k - $375k
A leading law firm in New York seeks a mid-level Capital Markets & Corporate Compliance Associate with over 3 years of experience. The role involves sophisticated securities and corporate matters, including IPOs and compliance. Candidates must have a JD from an ABA-accredited...Remote job- Associate Director, Regulatory Affairs, Advertising & Promotion—New Jersey Tanner and Associates is recruiting an Associate... ...and promotion for the US market in accordance with business goals... ...Serves as the company’s regulatory reviewer for assigned products and the liaison...Local area
$110k - $150k
...Title: Compliance Analyst / Compliance Associate Firm: Global Private Equity Firm ($75B+) Location:... ...to SEC filings, examinations, and marketing rule compliance Collaborative, business... ...compliance consultants on periodic reviews and examinations Support...- ...Senior Regulatory Analyst, Wholesale Market Policy Responsibilities What you will do: Core of this role is translating policy... ...related fields (consulting, RTO/ISO, regulatory agency, trade association, or industry experience all valued). ~ Strong analytical thinking...Shift work
- ...Remote Jobs is seeking a Principal Review Specialist to perform regulatory sales supervision for its brokerage and insurance subsidiaries. The position involves evaluating transactions' compliance with regulatory standards and conducting business practice reviews. Applicants...Remote work
$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$89k - $157k
...Associate, Regulatory Compliance Support and contribute to creating and executing detailed testing to... ...Propose methods of testing and execute reviews discussed and agreed with a team... ...knowledge of financial products and markets, as well as laws, rules and regulations...$70k - $80k
...deep research and span public and private markets, across all major asset classes, with a... ...Conduct monthly, quarterly and annual compliance testing and monitoring Creating and maintaining... ...filings and run various email review processes Assist with the execution and...Local areaFlexible hours$100k - $125k
...a Senior Regulatory Analyst to join a high‑impact team focused on wholesale electricity market policy across North America. This role goes beyond traditional regulatory compliance, with a focus on translating complex policy developments into actionable business insights...Full time$175k - $200k
...visit our website at Responsibilities PJT Partners is seeking to hire a highly motivated compliance professional to cover our equity and debt capital markets business activities. This is a new role reporting into the firm's Chief Compliance Officer, that...$120k
...Salary: $120,000 Job Overview - Compliance Associate (Private Equity) Compensation: $120,... ...of Ethics monitoring, personal trading reviews, and quarterly certifications. Regulatory... ...within private equity, private markets, or investment advisory environments....Permanent employmentWork at officeMonday to Friday- ...Compliance Associate We are seeking a bright, proactive and highly motivated individual to join... ...family office accounts (public and private market investing) and corporate compliance... ...you will do: Draft, analyze and review legal agreements, including vendor and...Work at office
- ...Title: Korean-speaking Regulatory Review Consultant Location: Remote (ET Preferred) Duration: Short-Term Contract (Approx.... ...recommendations Support APAC stakeholders with regulatory and compliance insights Work through high-volume documentation (~5,000...Temporary workRemote work
$140k - $185k
...seeking a motivated and detail-oriented Compliance and Legal Associate to join our legal and compliance team... ...to the Board of Directors. * Draft, review, and file corporate and transactional... ...corporate governance and capital markets projects as the need arises and other...Daily paidPermanent employmentInterim roleWork at office$70k - $160k
...Compliance Associate The Compliance Department at Millennium serves to adopt, implement, and... ...transactions, conduct self-examination reviews, educate employees on regulatory requirements... ...~ Knowledge of US financial markets, clearing, trading, and regulatory reporting...- ...Senior Associate Compliance Officer Bring your expertise to JPMorgan Chase. As part of Risk Management... ...control functions Manage multiple reviews and handle confidential information... ...and risk to human resources and marketing. Our corporate teams are an essential...Work at office
- ...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
$110k - $120k
Man Group, a leading investment management firm, is seeking a Marketing Compliance Analyst in New York. The role involves reviewing and approving public communications, ensuring compliance with regulatory guidelines, and collaborating with teams for effective communication...
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