Senior Associate - Marketing Compliance

Position Overview

An investment management company is seeking a Marketing Compliance Associate to support the firm’s marketing compliance program. This role will focus on reviewing and approving marketing materials to ensure compliance with SEC regulations..

Key Responsibilities:

• Review and approve marketing materials, including pitch books, fact sheets, RFPs/DDQs, website content, social media, advertisements, and investor communications.
• Ensure compliance with the SEC Marketing Rule (Rule 206(4)-1), Advisers Act, FINRA rules (if applicable), and global regulatory requirements as relevant.
• Conduct performance advertising reviews, including calculation methodologies, net/gross performance presentation, benchmarks, hypothetical performance, and predecessor performance.
• Partner closely with Marketing, Investor Relations, Product, and Legal teams to provide timely, practical compliance guidance.
• Maintain and update marketing compliance policies, procedures, and templates.
• Assist with regulatory filings and disclosures related to marketing (e.g., Form ADV updates).

Qualifications

• Bachelor’s degree required
• 2+ years of compliance experience within an SEC-registered investment adviser, asset management firm, or financial services organization.
• Strong knowledge of the SEC Marketing Rule and related regulatory framework.
• Experience reviewing performance advertising and institutional marketing materials.