Job Overview – Compliance Associate (Marketing & Advertising Review):
Compensation: $150,000 – $190,000/year base ($275,000 All-in)
Location: Stamford, CT
Schedule: Monday to Friday (Hybrid)
Join our client’s legal and compliance team as a Compliance Associate (Marketing & Advertising Review) in Stamford, CT, overseeing the review of marketing, advertising, and performance materials across multiple asset classes. In this hybrid role, you’ll assess client presentations, research reports, and social media content for regulatory accuracy and brand consistency. Ideal candidates have strong knowledge of SEC Rule 206(4)-1, FINRA Rule 2210, and global compliance standards, with active Series 7 and 24 licenses.
Responsibilities as the Compliance Associate:
- Marketing Material Review: Evaluate marketing, client presentations, research, and social media content for regulatory compliance.
- Regulatory Oversight: Ensure alignment with SEC Rule 206(4)-1, FINRA Rule 2210, and other global regulations.
- Performance Review: Assess hypothetical, projected, and back-tested performance data for compliance accuracy.
- Policy Implementation: Support the development and enforcement of internal policies and procedures.
- Training & Guidance: Provide compliance training and clear guidance to business development and investment teams.
- Industry Monitoring: Stay current on regulatory trends and rulemaking to guide policy updates and best practices.
Qualifications for the Compliance Associate:
- Education: Bachelor’s degree in Finance, Business, Law, or a related field is required.
- Experience: 4-7 years of marketing material review experience within an investment adviser or broker-dealer environment.
- Licensure: Active FINRA Series 7 and 24 licenses are required.
- Technical Skills: Familiarity with digital marketing review workflows, performance reporting tools, and internal compliance tracking systems.
- Skills & Attributes: Strong knowledge of SEC and FINRA regulations, clear communicator, highly organized, and effective in fast-paced, collaborative environments.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.