Remote ETF Marketing Compliance Associate

Adweek; Delray Beach (FL); Remote; USD 70,000 - 95,000; Full time

Job summary

VistaShares is seeking a detail-oriented Compliance Associate to support the review and documentation of ETF marketing materials, advertising, and investment-related communications. This role is initially remote, with a planned transition to a Delray Beach, Florida office in mid-2027, requiring 3-4 days in the office.

You will coordinate reviews, ensure regulatory substantiation, manage records, and collaborate with marketing, sales, product, and legal teams to maintain compliant communications

Qualifications

• Bachelor's degree or equivalent experience.
• 2–5 years in financial services compliance, regulatory operations, or marketing review.
• Familiarity with FINRA Rule 2210 and applicable SEC advertising requirements.
• Excellent attention to detail, analytical judgment, and written communication.
• Strong Microsoft Word, Excel, and PowerPoint skills.

Responsibilities

• Support review and approval workflows for ETF fact sheets, presentations, sales literature, emails, websites, digital ads, and social media.
• Assess communications against applicable FINRA, SEC, and other requirements relevant to the firm’s activities.
• Review performance presentations, comparisons, disclosures, and marketing claims for consistency and substantiation.
• Coordinate required risk disclosures and regulatory language with appropriate reviewers.
• Flag concerns and elevate decisions to designated compliance or supervisory personnel.
• Maintain records of submissions, approvals, supporting documents, and review histories.
• Track review deadlines and coordinate with marketing, sales, product, legal, and external providers.
• Assist with periodic website and social media reviews, audits, examinations, and information requests.
• Help maintain marketing compliance procedures, templates, and checklists.

Skills

Attention to detail

Analytical judgment

Written communication

Regulatory awareness

Education

Bachelor's degree in finance, business, legal studies, accounting, or related field

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Job description

VistaShares is seeking a detail-oriented Compliance Associate to support the review and documentation of ETF marketing materials, advertising, and investment-related communications. This role is initially remote, with a planned transition to a Delray Beach, Florida office in mid-2027, requiring 3-4 days in the office.

You will coordinate reviews, ensure regulatory substantiation, manage records, and collaborate with marketing, sales, product, and legal teams to maintain compliant communications