Job Description
We are seeking a highly motivated and detail-oriented professional to join our Compliance
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Marketing Review team at the Associate level, depending on prior experience and other
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qualifications. The ideal candidate will play a key role in supporting the firm’s global marketing
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and business development initiatives by reviewing and advising on a broad range of marketing
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materials to ensure compliance with regulatory requirements and internal standards. This role
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offers exposure to various investment strategies, product vehicles, and senior stakeholders across
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the firm.
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Responsibilities Include:
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• Conduct comprehensive and timely reviews of various materials, including but not limited to
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marketing and other client-facing material, client reports, research papers, webisodes, and
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social media content.
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• Assess materials across multiple asset classes and investment strategies for compliance with
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applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory
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regimes) and internal firm policies.
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• Apply expertise in the review of complex presentations, including hypothetical and back-tested
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performance, reviewing for regulatory compliance.
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• Provide proactive, clear, and solution-oriented guidance to business development and
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investment professionals regarding compliant advertising and performance reporting
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practices.
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• Interpret and communicate about relevant regulatory rules and developments, translating
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them into actionable compliance and business guidance.
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• Maintain relevant industry and regulatory knowledge, including monitoring and providing
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feedback on relevant rulemaking initiatives, risk alerts and other regulatory matters.
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• Assist with the implementation of new policies and procedures as well as with updating
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existing policies and procedures.
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• Provide training and informational tools to relevant staff on compliance policies and
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procedures and regulatory requirements.
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Requirements:
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• Bachelor's degree
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• 3-5 years minimum experience reviewing marketing material, preferably with an investment
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adviser or broker-dealer
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• Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment
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Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules,
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regulations, and interpretive guidance
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• Proactive time management skills and the ability to manage projects independently
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• Role requires work outside of regular business hours on an as needed basis, including
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monitoring email during evenings and weekends