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- iCapital is seeking a Compliance Associate to join its Regulatory and Compliance team, focusing on approving marketing materials for investment advisers and broker-dealers, with... ...private funds. The role ensures adherence to advertising rules and collaborates with Legal and...Suggested
$85k - $115k
...the RoleiCapital is looking for a Compliance Associate to join its Regulatory and Compliance team to lead the review and approval process for marketing materials created by our investment... ...compliance with all communications and advertising rules, working with the...SuggestedFull timeWork at officeRemote work$130k - $150k
...goals, and navigate complex markets together. We leverage cutting... ...’s Global Regulatory Compliance department provides oversight... ...assessments guidelines, conducts reviews, and ensures compliance with... ...compliance, or a heavily regulated advertising environment.Strong...SuggestedFull timeWork at officeLocal area- iCapital is seeking a Compliance Associate to join its Regulatory and Compliance team in New York. The role centers on reviewing and approving marketing materials created by our investment advisers... ...will ensure communications and advertising meet SEC and FINRA rules,...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... ...management skills.Responsibilities:Review marketing and advertising materials for proprietary and third-...Work experience placement$150k - $200k
...is looking for an experienced Compliance professional to join our team with a primary focus on marketing compliance while also... ...closely with the marketing team to review and approve marketing materials... ...of FINRA Rule 2210, SEC advertising rules including the Investment...Work experience placement$89k - $105k
...rewards. The Communications Compliance team ensures our parent company... ...and brand integrity. We review, audit, approve, and advise... ...communications, partnering closely with Marketing, Legal, Content, and... ...select third-party advertising content, and work with business...Fixed term contractWork at officeFlexible hoursShift work3 days per week$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...Full timeLocal areaRemote work$115k - $150k
...alternative asset management as well as capital markets and insurance solutions. KKR aims to... .... Position Overview KKR is seeking a Compliance Officer to join KKR’s Global Compliance... ...regulatory filings Conduct pre-trade reviews and analyses of potential sources of MNPI...Work at officeLocal area- ...private and registered credit funds, ensuring compliance with regulatory standards and supporting... ...products, ensuring legal integrity.Review and negotiate fund documentation,... ...guidance on regulatory considerations for fund marketing and distribution, ensuring adherence to...
$81.4k - $151.8k
...Street Job Family Group Audit, Risk & Compliance The Capital Markets Senior Compliance Officer will... ...Responsibilities Conduct surveillance reviews and evaluate accuracy, reliability and... .... Identify potential issues associated with surveillance tools and process...Local area$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading... ...rates, foreign exchange, emerging markets, credit, asset-backed securities, and macro... ...policy breachesAssist with diligence reviews and the approvals process for new products...Work experience placement- 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
$70k - $160k
Compliance Associate - Experts & ResearchAbout MillenniumMillennium is a global, diversified alternative investment firm, founded... ...data providers• Conduct trading surveillance reviews with a focus on potential market manipulation and insider trading• Partner closely with...$130k - $150k
...Compliance Associate Founded in 1968, Gilder Gagnon Howe & Co., LLC ("GGHC") is a registered investment... ...by analyst colleagues who scour the market for growth opportunities; allocators... ...: Conduct routine monitoring, trade reviews, and escalation processes for personal...$65k - $92.5k
...COLI), and Institutional COLI (ICOLI) markets. These solutions are designed to help... ...professionals. Role Overview: As a Compliance Associate, you will support risk management and... ..., and internal or external reviews, ensuring information is accurate, timely...Local area3 days per week$100k - $140k
...expertise across RIA and broker-dealer compliance programs. Gain broad exposure to... ...Communications & Regulatory Oversight Review marketing materials, investor communications,... ...maintaining broker-dealer registrations and associated regulatory records. Coordinate...Permanent employmentLocal area$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...$85k - $100k
...Job Overview – Compliance Associate (Investment Management): Compensation: $85,000 – $100,000/year + bonus Location: New York, NY Schedule... ...employee compliance monitoring, regulatory filings, marketing reviews, and lobbying requirements. In this hybrid role, you will...Work at officeMonday to Friday- ...Intercontinental Exchange, seeks an Analyst to join the Market Watch and Proxy Compliance team under NYSE Regulation. You will monitor trading activity... ...while assisting in proxy rulings for meetings. You will review material disclosures, coordinate with stakeholders, and...
$100k - $135k
Overview Compliance Analyst/Associate (New York, NY): A leading private equity firm with more than $5B in assets... .... Broad exposure across the private markets compliance landscape, including records management, testing, contract review, and regulatory initiatives. High...Full timeContract workWork at office$50k - $70k
...Commodities, Financial Institutions and Global Markets lines of business. Overview *To be... ...position is responsible for: Ensuring compliance with consumer laws and regulations and serve... ...operation of the Committee Collect and review Committee materials prior to meetings...InternshipWork 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$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- City of New York is seeking an experienced Compliance Officer for the Bureau of Asset Management to monitor regulatory compliance across private market and public investments. You will work with strategy and counsel to perform due diligence, advise on committee evaluations...Work at office
$90k - $140k
...To: General Counsel / Chief Compliance Officer FLSA Status: Exempt... ...-level Legal & Compliance Associate to join its in-house Legal... ...Associate will support contract review and negotiation, regulatory... ...monitoring across trading, marketing/advertising, personal trading, and...Contract work$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): 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
- Growing clearing broker dealer is seeking an experienced Senior Compliance Officer to support the firm's compliance program across U.S.... ..., and Rule 15c3-5. Advise on new products, trading strategies, market structure changes, and regulatory developments. Support trade surveillance...
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