Compliance Associate, Marketing & Investment Adviser Compliance

NewEdge Capital Group•Stamford, CT

17d

About The Position

NewEdge Wealth, a division of NewEdge Capital Group, LLC, is seeking a detail-oriented and motivated Compliance Associate to support the firm’s investment adviser compliance program, with a primary focus on marketing and advertising review under the SEC Marketing Rule, the firm’s annual review process under Rule 206(4)-7, and Form ADV maintenance. This individual will work closely with the Compliance Department, advisors, and internal marketing personnel to ensure client communications, disclosure documents, and firm-level compliance obligations meet SEC and industry standards for a registered investment adviser serving ultra-high-net-worth clients.

Requirements

Minimum 2–4 years of compliance experience at a registered investment adviser, wealth management firm, or broker-dealer, with direct exposure to marketing/advertising review, the annual review process, and/or Form ADV preparation.
Bachelor’s degree required.
Working knowledge of the Investment Advisers Act of 1940, including Rule 206(4)-1 (the Marketing Rule), Rule 206(4)-7 (compliance program/annual review), and Form ADV requirements.
Familiarity with SEC and FINRA rules applicable to wealth management firms serving UHNW clients.
Strong writing, editing, and proofreading skills, with the ability to identify disclosure gaps and unsubstantiated claims in marketing materials.
Demonstrated ability to make informed, balanced compliance decisions under pressure and manage multiple review requests against deadlines.
Strong interpersonal and communication skills with a client service mindset and the ability to engage constructively with advisors, marketing staff, and internal stakeholders.
Detail-oriented, organized, and able to work independently with minimal supervision.
High proficiency in Microsoft Office Suite (Excel, Word, PowerPoint); experience with compliance surveillance or marketing review platforms strongly preferred.

Nice To Haves

experience with compliance surveillance or marketing review platforms

Responsibilities

Review advertisements, pitch books, performance presentations, website content, social media, and other client-facing marketing materials for compliance with SEC Rule 206(4)-1 (the Marketing Rule) and firm policy prior to use or distribution.
Maintain the firm’s marketing review log and tracking system, ensuring timely review turnaround and complete recordkeeping in accordance with the books and records rule.
Evaluate performance advertising, hypothetical performance, testimonials, endorsements, and third-party ratings for required substantiation, disclosures, and consistency with the firm’s compliance policies.
Support preparation of the firm’s annual review under Rule 206(4)-7 of the Investment Advisers Act, including documentation of testing performed, findings, and remediation steps.
Assist in drafting, updating, and filing Form ADV Part 1A and Part 2A/2B brochures and brochure supplements, including annual updating amendments and material disclosure changes.
Assist with maintaining and enhancing the Compliance Manual, Code of Ethics and desktop procedures.
Monitor regulatory developments affecting investment adviser rules and regulations and help translate changes into updated firm policy.
Conduct periodic risk assessments and testing of controls, escalating gaps or trends to senior Compliance staff.
Serve as a point of contact for advisors and internal personnel on day-to-day compliance questions, applying sound judgment in interpreting firm policy.
Coordinate with Legal and Compliance colleagues on client-facing disclosure documents, fee schedules, and other regulatory disclosures tied to Form ADV and the Marketing Rule.
Support related Investment Advisers Act compliance obligations, including recordkeeping, code of ethics, and custody rule considerations, as needed.