Marketing Compliance Analyst/Associate
Core
Review and approve external communications (marketing materials, investor letters, websites, social media) to ensure compliance with U.S. securities regulations and firm policies.
Role type
Associate-level compliance analyst (marketing)
Builds
Marketing compliance program and regulatory review processes
Domain
Asset management / Financial services
Deliverable
dashboards & analysis
Required skills
U.S. securities laws knowledge, SEC Marketing Rule, FINRA Rule 2210, regulatory analysis, policy documentation, risk identification
Preferred skills
Private equity/credit marketing review, global regulatory frameworks, marketing workflow systems, FINRA Series 7/24 licenses
Technologies
Red Oak, marketing review platforms
Responsibilities
Review and approve marketing materials and investor communications; Apply knowledge of SEC and FINRA regulations; Partner with Product, Legal, and Marketing teams; Identify compliance risks and recommend mitigations; Support maintenance of compliance metrics and testing processes; Monitor regulatory developments
Seniority
Associate, 2-6 years experience
