Marketing & Distribution Compliance Specialist

Future Standard; Philadelphia (Philadelphia County); On-site; USD 90,000 - 130,000; Full time

Job summary

Future Standard, a global alternative asset manager, seeks an Associate in Marketing & Distribution Compliance to govern approvals of marketing materials and investor communications. You will work with Marketing, Legal, Compliance, and Distribution teams to ensure accuracy and regulatory alignment.

Ideal candidates have 2–5 years in compliance or regulatory roles within asset management, with knowledge of SEC marketing rules and FINRA advertising requirements.

Qualifications

• 2–5 years of compliance, legal, marketing review, or regulatory experience in asset management or financial services.
• Knowledge of SEC Marketing Rule and FINRA advertising regulations.
• Experience reviewing institutional marketing materials for advisers or asset managers.
• Experience supporting regulatory filings and examinations preferred.
• Experience with private markets and fundraising concepts preferred.
• Strong attention to detail and analytical skills.
• Excellent written and verbal communication abilities.
• Experience with marketing review workflow systems is a plus.

Responsibilities

• Review and approve institutional marketing materials and investor communications.
• Ensure compliance with SEC Marketing Rule, FINRA Rule 2210, and other laws.
• Provide compliance guidance to stakeholders throughout content development.
• Collaborate with Marketing, Distribution, Legal, Client Services, and Compliance to approve communications.
• Review performance content, hypothetical performance, third‑party ratings, and disclosures for regulatory alignment.
• Assist with regulatory filings including FINRA advertising filings.
• Support responses to DDQs, RFPs, and information requests for regulators and clients.
• Maintain records of reviews, approvals, and audit trails per recordkeeping rules.
• Monitor regulatory developments and industry trends in marketing and distribution.
• Participate in testing, monitoring, and internal/external regulatory examinations.
• Assist with development and enhancement of marketing review policies and controls.

Skills

Compliance experience

Regulatory knowledge

Marketing review

Financial services

Writing skills

Tools

Red Oak

Job description

Future Standard, a global alternative asset manager, seeks an Associate in Marketing & Distribution Compliance to govern approvals of marketing materials and investor communications. You will work with Marketing, Legal, Compliance, and Distribution teams to ensure accuracy and regulatory alignment.

Ideal candidates have 2–5 years in compliance or regulatory roles within asset management, with knowledge of SEC marketing rules and FINRA advertising requirements.