Job Overview – Marketing Compliance Associate (Financial Services):
Compensation: $110,000 – $140,000/year + bonus
Location: Greenwich, CT
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Marketing Compliance Associate (Financial Services) in Greenwich, CT for our client. This hybrid role supports marketing and advertising compliance across registered entities, ensuring adherence to SEC and FINRA regulations. You’ll review promotional materials, manage regulatory filings, and assist with initiatives involving ETFs, ETPs, and digital assets. Ideal for compliance professionals looking to advance in financial services marketing oversight and regulatory review.
Responsibilities as the Marketing Compliance Associate:
- Marketing Review: Review and approve advertising, sales, and social media materials for compliance with SEC, FINRA, and internal standards.
- Regulatory Filings: Assist with Free Writing Prospectuses and other marketing-related regulatory submissions.
- Compliance Oversight: Support daily marketing compliance operations, review workflows, and maintain accurate records.
- Policy & Monitoring: Ensure adherence to key SEC and FINRA rules while reviewing fund disclosures, websites, and promotional materials for accuracy.
- Collaboration: Partner with Marketing, Sales, and Legal teams to provide guidance and maintain consistent regulatory standards across campaigns.
Qualifications for the Marketing Compliance Associate:
- Education: Bachelor’s degree in Finance, Business Administration, Legal Studies, or a related field required.
- Experience: 2-5 years of marketing compliance experience within an RIA, broker-dealer, or asset management firm.
- Licensure: Series 7 required, with willingness to obtain Series 24 within the required timeframe.
- Technical Skills: Proficient in compliance platforms and Microsoft Office Suite, with experience in document management and marketing review workflows.
- Industry Knowledge: Strong understanding of Rule 206(4)-1 (SEC Marketing Rule), FINRA Rule 2210, and related regulatory frameworks.
- Skills & Attributes: Detail-oriented, analytical, and collaborative professional with strong communication skills and interest in digital assets and emerging finance.
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.