Compliance Marketing Review Associate

Associate, Compliance Marketing Review

Greenwich, CT

About the Firm

Our client is a global systematic investment management firm offering a range of alternative and long-only strategies to institutional and wealth investors around the world. Research is central to its investment approach.

The firm offers a collaborative environment that encourages thoughtful questions, creative thinking, and new ideas. Continuous learning is an important part of the employee experience, with opportunities to contribute and grow regardless of title or tenure.

Your Role

The firm is seeking a highly motivated and detail-oriented professional to join its Compliance Marketing Review team at the Associate level, depending on prior experience and qualifications.

This individual will support global marketing and business development initiatives by reviewing and advising on a broad range of marketing materials to ensure compliance with regulatory requirements and internal standards. The role offers exposure to various investment strategies, product vehicles, and senior stakeholders across the firm.

Responsibilities

• Conduct comprehensive and timely reviews of marketing and other client-facing materials, client reports, research papers, webisodes, and social media content.

• Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations, including SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes, and internal firm policies.

• Review complex presentations, including hypothetical and back-tested performance, for regulatory compliance.

• Provide proactive, clear, and solution-oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices.

• Interpret and communicate relevant regulatory rules and developments, translating them into actionable compliance and business guidance.

• Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on rulemaking initiatives, risk alerts, and other regulatory matters.

• Assist with implementing new policies and procedures and updating existing policies and procedures.

• Provide training and informational tools to relevant staff on compliance policies, procedures, and regulatory requirements.

Qualifications

• Bachelor’s degree.

• 3–5 years minimum experience reviewing marketing materials, preferably with an investment adviser or broker-dealer.

• Series 7 and 24 licenses required.

• Strong understanding of SEC Rule 206(4)-1 under the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and other applicable rules, regulations, and interpretive guidance.

• Strong organizational and communication skills, with a detail-oriented and responsive approach.

• Ability to provide accurate, direct, and practical advice in a timely manner.

• Proactive time management skills and the ability to manage projects independently.

• A hardworking, team-oriented approach, with the ability to handle tight deadlines and an eagerness to learn in an intellectual, collaborative environment.

• Availability to work outside regular business hours as needed, including monitoring email during evenings and weekends.