Compliance Associate - Marketing & Advertising

Adweek; Delray Beach (FL); Remote; USD 70,000 - 95,000; Full time

Job summary

VistaShares is seeking a detail-oriented Compliance Associate to support the review and documentation of ETF marketing materials, advertising, and investment-related communications. This role is initially remote, with a planned transition to a Delray Beach, Florida office in mid-2027, requiring 3-4 days in the office.

You will coordinate reviews, ensure regulatory substantiation, manage records, and collaborate with marketing, sales, product, and legal teams to maintain compliant communications

Qualifications

• Bachelor's degree or equivalent experience.
• 2–5 years in financial services compliance, regulatory operations, or marketing review.
• Familiarity with FINRA Rule 2210 and applicable SEC advertising requirements.
• Excellent attention to detail, analytical judgment, and written communication.
• Strong Microsoft Word, Excel, and PowerPoint skills.

Responsibilities

• Support review and approval workflows for ETF fact sheets, presentations, sales literature, emails, websites, digital ads, and social media.
• Assess communications against applicable FINRA, SEC, and other requirements relevant to the firm’s activities.
• Review performance presentations, comparisons, disclosures, and marketing claims for consistency and substantiation.
• Coordinate required risk disclosures and regulatory language with appropriate reviewers.
• Flag concerns and elevate decisions to designated compliance or supervisory personnel.
• Maintain records of submissions, approvals, supporting documents, and review histories.
• Track review deadlines and coordinate with marketing, sales, product, legal, and external providers.
• Assist with periodic website and social media reviews, audits, examinations, and information requests.
• Help maintain marketing compliance procedures, templates, and checklists.

Skills

Attention to detail

Analytical judgment

Written communication

Regulatory awareness

Education

Bachelor's degree in finance, business, legal studies, accounting, or related field

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Job description

About VistaShares

Founded in 2024, VistaShares is one of the fastest-growing ETF platforms in the industry, reaching $2.5 billion in assets across 13 ETFs in less than two years. Founded by industry veterans Adam Patti and Jon McNeill, VistaShares is redefining ETF investing through innovative strategies that combine rules-based portfolio construction with insights from leading industry experts. Our mission is simple: build differentiated, high-quality investment solutions designed to meet the evolving needs of investors.

Learn more at www.VistaShares.com.

The Opportunity

VistaShares seeks a detail-oriented Compliance Associate to support the review and documentation of ETF marketing materials, advertising, and investment-related communications.

Work Arrangement

This position is initially remote. VistaShares anticipates transitioning to an office-based work environment in Delray Beach, Florida, in mid-2027. Candidates should be open to working from the Delray Beach office following this transition. Specific in-office requirements have not yet been finalized. (Expect 3-4 days in office)

Key Responsibilities

• Support review and approval workflows for ETF fact sheets, presentations, sales literature, emails, websites, digital ads, and social media.
• Assess communications against applicable FINRA, SEC, and other requirements relevant to the firm’s activities.
• Review performance presentations, comparisons, disclosures, and marketing claims for consistency and substantiation.
• Coordinate required risk disclosures and regulatory language with appropriate reviewers.
• Flag concerns and elevate decisions to designated compliance or supervisory personnel.
• Maintain records of submissions, approvals, supporting documents, and review histories.
• Track review deadlines and coordinate with marketing, sales, product, legal, and external providers.
• Assist with periodic website and social media reviews, audits, examinations, and information requests.
• Help maintain marketing compliance procedures, templates, and checklists.

Required Qualifications

• Bachelor’s degree in finance, business, legal studies, accounting, or related field, or equivalent relevant experience.
• 2–5 years in financial services compliance, regulatory operations, or marketing review.
• Familiarity with FINRA Rule 2210 and applicable SEC advertising requirements.
• Excellent attention to detail, analytical judgment, and written communication.
• Strong Microsoft Word, Excel, and PowerPoint skills.

Preferred Qualifications

• Experience at an asset manager, ETF issuer, mutual fund firm, broker‑dealer, or fund distributor.
• Review of investment performance advertising, comparisons, and product disclosures.
• Knowledge of ETF-specific marketing requirements and compliance platforms such as Red Oak.
• Relevant FINRA registrations where applicable. Series 24 is a plus.

Why VistaShares

Opportunity to develop specialized ETF marketing compliance expertise and improve review workflows.

Compensation & Benefits

VistaShares’ compensation package includes a competitive market salary and benefits package.

Actual compensation is influenced by a wide array of factors including but not limited to skill set, level of experience, and location.

Mission, Vision & Values:

VistaShares is committed to delivering a better investment and financial experience through the quality of our products and solutions. Our employees strive for excellence and innovation, work with transparency and accountability, and show each other fairness and respect. We welcome the applications of qualified individuals who will support this mission and thrive in our collaborative and empowering work environment.

VistaShares is proud to be an Equal Opportunity Employer, committed to diversity and consideration of all applicants and existing employees for all positions. We evaluate qualified applicants without regard to race, color, religion, creed, sex, gender, age, national origin or ancestry, ethnicity, physical or mental disability, veteran status, marital status, sexual orientation, pregnancy, citizenship status, genetic information, or any other status or condition protected by applicable law.