Associate, Compliance Marketing Review

AQR•Greenwich, CT

7d•$130,000 - $150,000

About The Position

Founded in 1998, AQR is a global systematic investment management firm. As quantitative investors, research is the foundation of everything we do. We manage a range of alternative and long-only strategies designed to meet the needs of institutional and wealth investors around the world. AQR’s culture reflects the firm’s academic roots and entrepreneurial spirit. Our collaborative environment fuels innovation and encourages employees to ask thoughtful questions, think creatively and bring new ideas forward. Continuous learning is an important part of the employee experience, helping our people build skills and grow throughout their careers. Employees at every level have opportunities to contribute, regardless of title or tenure. The firm has 800 employees with headquarters in Greenwich, Connecticut and offices in London, Frankfurt, Dubai, Hong Kong, Sydney and Bengaluru. We are seeking a highly motivated and detail-oriented professional to join our Compliance Marketing Review team at the Associate level, depending on prior experience and other qualifications. The ideal candidate will play a key role in supporting the firm’s 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. This role offers exposure to various investment strategies, product vehicles, and senior stakeholders across the firm.

Requirements

Bachelor's degree
3-5 years minimum experience reviewing marketing material, preferably with an investment adviser or broker-dealer
Series 7 and 24 licenses required
Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules, regulations, and interpretive guidance
Well organized, strong communication skills, detail-oriented and responsive
Ability to provide accurate, direct and practical advice in a timely fashion
Proactive time management skills and the ability to manage projects independently
Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment

Responsibilities

Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes, and social media content.
Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory regimes) and internal firm policies.
Apply expertise in the review of complex presentations, including hypothetical and back-tested performance, reviewing 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 about 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 relevant rulemaking initiatives, risk alerts and other regulatory matters.
Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures.
Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.