Compliance Professional - Marketing Review

About the Role

Our client is seeking a Marketing Review and Regulatory Compliance Professional to review marketing materials for regulatory compliance while supporting the firm's broader compliance program.

Responsibilities

• Review marketing materials, advertisements, and client communications for compliance with SEC Marketing Rule, FINRA advertising rules, and related regulations
• Maintain records of reviewed materials per recordkeeping requirements
• Support compliance policies, testing, and regulatory filings (e.g., Form ADV, Form PF)
• Monitor regulatory developments and assist with exam responses
• Train marketing and sales staff on compliance requirements
• Partner with legal, marketing, and investment teams to resolve compliance issues

Qualifications

• Bachelor's degree
• 5+ years in compliance or marketing review within asset management
• Strong knowledge of SEC/FINRA marketing and advertising regulations
• Series 7 and 24 preferred
• Strong attention to detail and communication skills