Global Compliance Marketing Review Associate

Coda Search│Staffing; Greenwich (CT); On-site; USD 90,000 - 150,000; Full time

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Marketing review

Regulatory knowledge

Communication

Attention to detail

Project management

Education

FINRA licenses (Series 7, 24)

Job description

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.