Associate, Marketing & Distribution Compliance

Future Standard•Philadelphia, PA

60d

About The Position

The Associate, Marketing & Distribution Compliance function will support the review and approval of marketing and client materials across private and registered investment products. This individual will work closely with Marketing, Distribution, Legal, Client Services, and Compliance teams to ensure communications are fair, balanced, accurate, and compliant with applicable regulatory requirements.

Requirements

2-5 years of compliance, legal, marketing review, or regulatory experience within asset management, investment advisory, broker-dealer, or financial services environments.
Series 7 preferred and ability to obtain series 24
Working knowledge of the SEC Marketing Rule (Rule 206(4)-1), FINRA Rule 2210, and related advertising and communications regulations.
Experience reviewing institutional marketing materials for registered investment advisers, alternative investment firms, or asset managers.
Strong understanding of performance advertising concepts, disclosure requirements, and institutional fundraising practices.
Exceptional attention to detail, analytical skills, and ability to evaluate complex marketing and disclosure considerations.
Strong organizational, project management, and stakeholder management capabilities.
Excellent written and verbal communication skills.

Nice To Haves

Experience supporting regulatory filings and regulatory examination requests preferred.
Experience supporting private equity, infrastructure, private credit, real assets, or alternative investment strategies strongly preferred.
Experience with marketing review and workflow systems such as Red Oak or similar platforms is a plus.

Responsibilities

Review and approve institutional marketing materials, presentations, pitchbooks, fact sheets, due diligence questionnaires (DDQs), requests for proposals (RFPs), requests for information (RFIs), and investor communications.
Assist in ensuring compliance with the SEC Marketing Rule, FINRA Rule 2210, the Investment Advisers Act of 1940, the Securities Act of 1933, and other applicable regulatory requirements.
Support registered investment adviser marketing and distribution activities by providing compliance guidance to business stakeholders throughout the content development process.
Partner with Marketing, Distribution, Client Services, Legal, and Compliance teams to facilitate timely review and approval of communications.
Review performance-related content, hypothetical performance, third-party ratings, testimonials, endorsements, and advertising disclosures to ensure regulatory compliance and consistency with firm policies.
Assist with the preparation, coordination, and submission of regulatory filings, including FINRA advertising filings and other required regulatory submissions.
Support responses to client due diligence requests and consultant questionnaires by reviewing content for regulatory accuracy and consistency.
Maintain records of marketing reviews, approvals, supporting documentation, and audit trails in accordance with recordkeeping requirements.
Monitor regulatory developments, enforcement actions, risk alerts, and industry trends related to marketing, advertising, and distribution activities.
Participate in compliance testing, monitoring activities, internal reviews, and regulatory examinations related to marketing and distribution practices.
Assist with the development and enhancement of marketing review policies, procedures, controls, and governance frameworks.