Marketing Compliance Associate
About The Position
The Marketing Compliance Associate will be responsible for ensuring marketing materials meet regulatory requirements, maintaining audit-ready documentation, and supporting compliance processes related to marketing activities. This position partners closely with the Vice President of Marketing to balance compliance rigor with marketing effectiveness. The successful candidate also has a desire to provide support to the firm’s broader compliance framework across the organization. This includes conducting risk assessments, performing testing, conducting due diligence on third parties, working on core compliance matters, and contributing to firm initiatives and regulatory responses. This position is onsite 5 days a week at our New York City office.
Requirements
- Bachelor’s degree in Marketing, Business, Finance, or related field
- 2–3 years of experience in marketing compliance or related financial services roles
- Strong organizational and detail-oriented skills
- Familiarity with marketing rules (e.g., SEC Marketing Rule, FINRA) strongly preferred
- Proficiency in managing documentation and tracking systems
Responsibilities
- Review and assist in preparing marketing materials, including Overview Decks, Due Diligence Questionnaires, and Requests for Proposals/Information
- Assist in preparing materials for regulatory and rating agency submissions
- Manage backup source files, documentation maintenance, and version control
- Maintain distribution tracking and audit logs
- Monitor regulatory requirements related to marketing and investor communications
- Work closely with the Vice President of Marketing to integrate compliance processes into workflows without compromising agility
- Identify opportunities to streamline compliance processes with respect to marketing material review, documentation, and audit preparation
- Conduct enterprise-wide risk assessments.
- Perform testing and monitoring in accordance with the annual compliance plan.
- Conduct initial and ongoing due diligence on third parties.
- Assist with various Code of Ethics-related compliance tasks.
- Perform other duties assigned by Compliance team leadership.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
