Compliance & Marketing Review Associate

NewEdge Capital Group LLC; Stamford (CT); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Short-term disability

Long-term disability

Life insurance

Paid time off (PTO)

401(k) match

Job summary

NewEdge Wealth, a division of NewEdge Capital Group, LLC, seeks a detail-oriented Compliance Associate to support the firm’s investment adviser compliance program, focusing on marketing review, annual compliance testing, and Form ADV maintenance.

The role collaborates with Compliance, advisors, and marketing staff to ensure client communications, disclosures, and firm policies meet SEC standards for a registered adviser serving UHNW clients.

Qualifications

• Minimum 2–4 years of compliance experience at a registered investment adviser, wealth management firm, or broker-dealer.
• Bachelor’s degree required and knowledge of the Investment Advisers Act, SEC/FINRA rules.
• Strong writing, editing, and proofreading skills with ability to identify disclosure gaps.
• Ability to make informed compliance decisions under pressure and manage multiple requests.

Responsibilities

• Review advertisements, pitch books, performance presentations, and other marketing materials for compliance with the Marketing Rule.
• Maintain the marketing review log and records in line with books-and-records rules.
• Evaluate performance advertising and third-party ratings for substantiation and disclosures.
• Assist in preparing the annual compliance review under Rule 206(4)-7 and related documentation.
• Assist with Form ADV Part 1A and Part 2A/2B brochures and updates.
• Maintain and enhance the Compliance Manual, Code of Ethics, and procedures.
• Monitor regulatory developments and translate changes into firm policy.
• Conduct risk assessments and escalate gaps to senior staff.
• Serve as a point of contact for advisors on day-to-day compliance questions.
• Coordinate with Legal on disclosures tied to Form ADV and the Marketing Rule.

Skills

Compliance experience

Marketing/advertising review

Form ADV preparation

Written communication

Attention to detail

Project management

Team collaboration

Education

Bachelor's degree

Tools

Microsoft Office Suite

Job description

NewEdge Wealth, a division of NewEdge Capital Group, LLC, seeks a detail-oriented Compliance Associate to support the firm’s investment adviser compliance program, focusing on marketing review, annual compliance testing, and Form ADV maintenance.

The role collaborates with Compliance, advisors, and marketing staff to ensure client communications, disclosures, and firm policies meet SEC standards for a registered adviser serving UHNW clients.