Associate, Compliance Marketing Oversight

Coda Search│Staffing; Greenwich (CT); Vor Ort; USD 90.000 - 150.000; Vollzeit

Zusammenfassung

An Associate on the Compliance Marketing Review team will review and advise on marketing materials to ensure regulatory compliance and internal standards. This role offers exposure to multiple investment strategies and senior professionals across the firm.

3–5+ years of experience, Series 7 and 24 licenses are required, with solid knowledge of SEC Rule 206(4)-1 and FINRA Rule 2210. Ability to work under tight timelines and across teams is essential.

Qualifikationen

• Review marketing materials for compliance with SEC/FINRA/global rules.
• Interpret regulatory guidance and translate into actionable advice.
• Coordinate with business development and investment teams under tight timelines.

Aufgaben

• Review marketing and client-facing materials for regulatory compliance.
• Assess materials across asset classes for global rules and internal policies.
• Provide practical guidance on compliant advertising and performance reporting.
• Develop training and reference tools on regulatory requirements.
• Monitor regulatory developments and update policies accordingly.

Kenntnisse

Marketing review

Regulatory knowledge

Communication

Attention to detail

Project management

Ausbildung

FINRA licenses (Series 7, 24)

Jobbeschreibung

We are partnering with a leading global systematic investment management firm to hire an Associate for its Compliance Marketing Review team. The firm’s culture reflects deep academic roots and an entrepreneurial spirit. It is a collaborative, intellectually rigorous environment where people at every level are encouraged to ask questions, contribute ideas and keep learning, regardless of title or tenure.

This is a high-visibility seat supporting the firm’s global marketing and business development efforts. The Associate will review and advise on a wide range of marketing and client-facing materials to ensure they meet regulatory requirements and internal standards. The role offers broad exposure to multiple investment strategies, product vehicles and asset classes, and regular interaction with senior business development and investment professionals across the firm.

KEY RESPONSIBILITIES

• Conduct thorough, timely reviews of marketing and client-facing materials, including presentations, client reports, research papers, video content and social media
• Assess materials across multiple asset classes and strategies for compliance with global regulations (SEC Rule 206(4)-1, FINRA Rule 2210 and non-US regimes) and internal policies
• Review complex presentations, including hypothetical and back-tested performance
• Provide proactive, practical, solution-oriented guidance to business development and investment teams on compliant advertising and performance reporting
• Interpret regulatory rules and developments and translate them into actionable guidance for the business
• Monitor and provide feedback on rulemaking initiatives, risk alerts and other regulatory developments
• Help implement new policies and procedures and update existing ones
• Develop and deliver training and reference tools for staff on compliance policies and regulatory requirements

CANDIDATE PROFILE

• 3–5+ years of experience reviewing marketing materials, ideally at an investment adviser or broker-dealer
• Series 7 and 24 licenses required
• Strong working knowledge of the SEC Marketing Rule (Rule 206(4)-1 under the Advisers Act), FINRA Rule 2210 and related interpretive guidance
• Experience reviewing performance presentations, including hypothetical and back-tested results, is highly valued
• Organized, detail-oriented and responsive, with strong written and verbal communication skills
• Able to give accurate, direct and practical advice under tight timelines
• Self-directed and comfortable managing multiple projects independently
• Team-oriented and eager to learn in a highly intellectual, collaborative environment
• Willing to work outside regular business hours as needed, including monitoring email on evenings and weekends