Compliance Analyst

Veritas Partners; Pennsylvania; On-site; USD 90,000 - 140,000; Full time

Job summary

Veritas Partners seeks a Compliance Analyst to join its Montgomery County, PA team. The role partners with Marketing to review and approve materials, ensuring compliance with FINRA, SEC rules and international standards across domestic and global markets.

The position involves developing and maintaining marketing-related policies, monitoring regulatory developments, and supporting examinations. Ideal candidates have 5–7 years in marketing compliance and strong communication skills.

Qualifications

• Bachelor's degree preferred.
• 5 to 7 years of compliance experience focusing on marketing or advertising review at a broker-dealer, asset manager, or financial services firm.
• Working knowledge of FINRA Rule 2210 and SEC advertising rules.
• Familiarity with social media compliance requirements.
• Familiarity with international marketing requirements across key jurisdictions (UK, EU, APAC) is a plus.
• Strong communication skills and ability to provide clear practical guidance to non-compliance stakeholders.

Responsibilities

• Review and approve marketing materials and social media content in accordance with FINRA, SEC, and applicable international regulatory requirements.
• Serve as a day to day compliance resource for the marketing team, providing practical guidance on regulatory considerations for new campaigns and materials.
• Develop and maintain policies and procedures related to marketing, communications, and social media.
• Monitor regulatory developments across jurisdictions and assess the impact on the firm's marketing activities globally.
• Partner with Compliance and Marketing colleagues across regions to ensure consistent application of marketing standards internationally.
• Assist with regulatory examinations and inquiries related to marketing and communications activity.
• Identify and escalate potential compliance issues and work with stakeholders to implement appropriate remediation.

Skills

Regulatory knowledge

Marketing compliance

FINRA/SEC rules

Social media compliance

Cross-functional collaboration

Education

Bachelor's degree preferred

Job description

Our client, an investment firm in Montgomery County, PA, is currently seeking a Compliance Analyst to join their growing team. The Compliance analyst will partner closely with the marketing team to review and approve marketing materials, ensuring they meet applicable regulatory requirements across domestic and international markets.

Responsibilities

• Review and approve marketing materials and social media content in accordance with FINRA, SEC, and applicable international regulatory requirements
• Serve as a day to day compliance resource for the marketing team, providing practical guidance on regulatory considerations for new campaigns and materials
• Develop and maintain policies and procedures related to marketing, communications, and social media
• Monitor regulatory developments across jurisdictions and assess the impact on the firm's marketing activities globally
• Partner with Compliance and Marketing colleagues across regions to ensure consistent application of marketing standards internationally
• Assist with regulatory examinations and inquiries related to marketing and communications activity
• Identify and escalate potential compliance issues and work with stakeholders to implement appropriate remediation

Qualifications

• Bachelor's degree is preferred
• 5 to 7 years of compliance experience with a focus on marketing or advertising review at a broker dealer, asset manager, or financial services firm
• Working knowledge of FINRA Rule 2210 and SEC advertising rules
• Familiarity with social media compliance requirements
• Familiarity with international marketing requirements across key jurisdictions such as the UK, EU, and APAC is a plus
• Strong communication skills and ability to provide clear practical guidance to non-compliance stakeholders