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$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$100k - $115k
Digital Insurance LLC seeks a compliance professional to ensure accuracy and adherence in advertising and social media. You will collaborate with various teams to review submissions against industry standards, maintaining compliance with SEC and FINRA regulations. Applicants...Suggested$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...SuggestedWork at officeRemote workFlexible hours$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...SuggestedFull timeTemporary work- ...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...
- ...Description Optima Partners is looking for a Compliance Associate / Senior Compliance Associate in it's... ...York Office to assist with compliance reviews and advisory assessments for asset... ...reviews, expert network processes, marketing materials and personal trading Ability...Work at officeImmediate startShift work
$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- 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...
- ...requirements under the Investment Advisers Act, including the SEC Marketing Rule, and provide guidance on matters impacting... ...business and operational implications. Provide compliance and regulatory review of marketing and fundraising materials for identifying and...
- 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
- 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
$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... ...skills. Responsibilities: Review marketing and advertising materials for proprietary and third-...Work experience placement$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- Overview 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...Full timePart timeWork at officeFlexible hours
- ...solutions. Responsibilities The SG Americas Compliance department acts as Second Line of... ...sanctions & embargoes, client protection, market integrity, anti-bribery & corruption, and... ...its goals. Trade Surveillance alerts review: Review of trade surveillance alerts and...Work at officeLocal area
$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$125k - $150k
...company’s New York‑based SEC/Corporate Compliance team as a Compliance Associate. The Compliance Associate will work... ...accounts (public and private market investing) and corporate compliance... ...assistance in drafting, analyzing, reviewing, and preparing legal agreements, including...Work at office- 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...
$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$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$120 - $160 per hour
...seeking a detail oriented and enthusiastic Compliance Associate to join their team. Working alongside... ...: Assist with the annual compliance review and preparation of regulatory filings... ...with trade surveillance, review marketing communications and manage the firm’s electronic...$89k - $157k
Compliance - New York - Associate, Regulatory Compliance - 9338281 location_on New York, New York, United... ...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...Full timeTemporary workWork at office$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$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
- Yieldstreet Inc. is seeking a Compliance Associate to assist in overseeing a registered investment adviser and broker-dealer. You'll develop and implement Compliance processes and deliver training on compliance policies. The ideal candidate should have 4-6 years of experience...
$175k - $200k
...documentation and regulatory requirements. Develop, maintain, and enhance compliance policies and written supervisory procedures. Establish and... ...Interest. Develop and deliver training programs for capital markets professionals. Monitor and advise the firm in relation to...$90 - $145 per hour
...professional with a Juris Doctor degree and experience in contract law, compliance, and litigation. This position offers flexibility as it is... ...legal judgment to structured project work. The role entails reviewing contracts and compliance documents, supporting litigation...Remote jobHourly payContract work
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Associate: Marketing & Advertising Review. Be the first to apply!
- information security compliance analyst New York, NY
- hr compliance coordinator New York, NY
- governance risk & compliance analyst New York, NY
- senior compliance analyst New York, NY
- risk and compliance analyst New York, NY
- financial compliance analyst New York, NY
- human resources compliance specialist New York, NY
- regulatory reporting analyst New York, NY
- legal compliance officer New York, NY
- regulatory analyst New York, NY


