Associate, Compliance Marketing Review

Our client, a leading global investment management firm, is conducting a retained search for an Associate, Compliance Marketing Review professional to join its compliance team in Greenwich, Connecticut.

This individual will play a critical role in supporting global marketing and business development initiatives by reviewing a broad range of marketing, advertising, and client-facing materials to ensure compliance with applicable regulatory requirements and internal standards. The position offers significant exposure to investment professionals, business leaders, and diverse investment strategies and products.

Key Responsibilities

• Review and approve marketing materials, client communications, presentations, research publications, website content, social media materials, and other external communications.
• Evaluate marketing content for compliance with SEC Marketing Rule (Rule 206(4)-1), FINRA Rule 2210, and applicable global regulatory requirements.
• Review and advise on performance-related disclosures, including hypothetical and back-tested performance information.
• Partner with investment, legal, compliance, and business development teams to provide practical guidance on advertising and marketing regulations.
• Interpret regulatory developments and communicate actionable compliance guidance to internal stakeholders.
• Assist with the development, implementation, and enhancement of compliance policies and procedures.
• Deliver training and educational resources regarding marketing compliance requirements and industry best practices.
• Monitor evolving regulatory developments and contribute to ongoing compliance risk management initiatives.

Qualifications

• Bachelor’s degree required.
• Minimum 3-5 years of experience reviewing marketing and advertising materials within an investment adviser, asset manager, broker-dealer, or similar financial services environment.
• Active Series 7 and Series 24 licenses required.
• Strong knowledge of:
• SEC Marketing Rule (Rule 206(4)-1)
• Investment Advisers Act advertising requirements
• FINRA Rule 2210
• Performance advertising standards, including hypothetical and back-tested performance reviews
• Excellent written and verbal communication skills.
• Strong organizational skills and attention to detail.
• Ability to provide practical, risk-based compliance advice in a fast-paced environment.
• Proven ability to manage multiple priorities and work independently while collaborating across teams.

Compensation

Base salary is expected to range from $130,000 - $150,000, plus eligibility for an annual discretionary bonus and a competitive benefits package.

This is an excellent opportunity for a compliance professional seeking to join a sophisticated investment management platform and work closely with senior stakeholders in a dynamic and intellectually rigorous environment.