Regulatory Marketing Compliance Specialist

AQR; Greenwich (CT); On-site; USD 130,000 - 150,000; Full time

Benefits offered by this job

Paid time off

Medical/dental/vision insurance

401(k)

Job summary

AQR Capital Management in Greenwich, CT seeks a Compliance Marketing Review Associate to support global marketing initiatives by reviewing materials for regulatory compliance and internal standards. You will work with senior stakeholders across the firm to ensure accurate, compliant advertising and performance reporting.

The role requires 3–5 years of experience, Series 7/24 licenses, and a deep understanding of SEC/FINRA rules, with the possibility of an additional discretionary bonus.

Qualifications

• Bachelor’s degree required.
• 3–5 years experience reviewing marketing materials in asset management.
• Series 7 and 24 licenses required.
• Strong understanding of Rule 206(4)-1, the SEC Marketing Rule, FINRA Rule 2210, and other applicable rules.

Responsibilities

• Conduct comprehensive reviews of marketing materials, client reports, papers, webisodes, and social media content.
• Assess materials for compliance with global regulations (SEC, FINRA, non-US regimes) and firm policies.
• Review complex presentations for regulatory compliance, including back-tested performance.
• Provide guidance to business development and investment professionals on compliant advertising and performance reporting.
• Interpret regulatory rules and communicate actionable compliance guidance to staff.
• Maintain knowledge of regulatory developments and assist with updating policies.
• Assist with implementing new policies and training staff on compliance requirements.

Skills

Regulatory compliance

Marketing reviews

Communication

Education

Bachelor's degree

Job description

AQR Capital Management in Greenwich, CT seeks a Compliance Marketing Review Associate to support global marketing initiatives by reviewing materials for regulatory compliance and internal standards. You will work with senior stakeholders across the firm to ensure accurate, compliant advertising and performance reporting.

The role requires 3–5 years of experience, Series 7/24 licenses, and a deep understanding of SEC/FINRA rules, with the possibility of an additional discretionary bonus.