Associate, Compliance Marketing Oversight

We are partnering with a leading global systematic investment management firm to hire an Associate for its Compliance Marketing Review team. The firm’s culture reflects deep academic roots and an entrepreneurial spirit. It is a collaborative, intellectually rigorous environment where people at every level are encouraged to ask questions, contribute ideas and keep learning, regardless of title or tenure.

If you think you are the right match for the following opportunity, apply after reading the complete description.
This is a high-visibility seat supporting the firm’s global marketing and business development efforts. The Associate will review and advise on a wide range of marketing and client-facing materials to ensure they meet regulatory requirements and internal standards. The role offers broad exposure to multiple investment strategies, product vehicles and asset classes, and regular interaction with senior business development and investment professionals across the firm.
KEY RESPONSIBILITIESConduct thorough, timely reviews of marketing and client-facing materials, including presentations, client reports, research papers, video content and social mediaAssess materials across multiple asset classes and strategies for compliance with global regulations (SEC Rule 206(4)-1, FINRA Rule 2210 and non-US regimes) and internal policiesReview complex presentations, including hypothetical and back-tested performanceProvide proactive, practical, solution-oriented guidance to business development and investment teams on compliant advertising and performance reportingInterpret regulatory rules and developments and translate them into actionable guidance for the businessMonitor and provide feedback on rulemaking initiatives, risk alerts and other regulatory developmentsHelp implement new policies and procedures and update existing onesDevelop and deliver training and reference tools for staff on compliance policies and regulatory requirements
CANDIDATE PROFILEBachelor’s degree3–5+ years of experience reviewing marketing materials, ideally at an investment adviser or broker-dealerSeries 7 and 24 licenses requiredStrong working xzbcwsv knowledge of the SEC Marketing Rule (Rule 206(4)-1 under the Advisers Act), FINRA Rule 2210 and related interpretive guidanceExperience reviewing performance presentations, including hypothetical and back-tested results, is highly valuedOrganized, detail-oriented and responsive, with strong written and verbal communication skillsAble to give accurate, direct and practical advice under tight timelinesSelf-directed and comfortable managing multiple projects independentlyTeam-oriented and eager to learn in a highly intellectual, collaborative environmentWilling to work outside regular business hours as needed, including monitoring email on evenings and weekends