Compliance Professional - Marketing Review

JW Michaels & Co.; New York (NY); On-site; USD 120,000 - 160,000; Full time

Job summary

JW Michaels & Co. seeks a Marketing Review and Regulatory Compliance Professional to assess marketing materials for regulatory compliance within our asset management practice.

Based in New York, you will review communications, support filings, monitor rule changes, and train staff to ensure adherence to SEC/FINRA guidelines while collaborating with legal, marketing, and investment teams. This role is integral to our broader compliance program and requires meticulous attention to detail.

Qualifications

• 5+ years in compliance or marketing review within asset management.
• Strong knowledge of SEC/FINRA marketing and advertising regulations.
• Series 7 and 24 preferred.
• Excellent attention to detail and communication skills.

Responsibilities

• Review marketing materials, advertisements, and client communications for compliance with SEC Marketing Rule, FINRA advertising rules, and related regulations
• Maintain records of reviewed materials per recordkeeping requirements
• Support compliance policies, testing, and regulatory filings (e.g., Form ADV, Form PF)
• Monitor regulatory developments and assist with exam responses
• Train marketing and sales staff on compliance requirements
• Partner with legal, marketing, and investment teams to resolve compliance issues

Skills

Regulatory compliance

Marketing review

Attention to detail

Communication skills

Education

Series 7

Series 24

Job description

Our client is seeking a Marketing Review and Regulatory Compliance Professional to review marketing materials for regulatory compliance while supporting the firm's broader compliance program.

Responsibilities

• Review marketing materials, advertisements, and client communications for compliance with SEC Marketing Rule, FINRA advertising rules, and related regulations
• Maintain records of reviewed materials per recordkeeping requirements
• Support compliance policies, testing, and regulatory filings (e.g., Form ADV, Form PF)
• Monitor regulatory developments and assist with exam responses
• Train marketing and sales staff on compliance requirements
• Partner with legal, marketing, and investment teams to resolve compliance issues

Qualifications

• 5+ years in compliance or marketing review within asset management
• Strong knowledge of SEC/FINRA marketing and advertising regulations
• Series 7 and 24 preferred
• Strong attention to detail and communication skills