Compliance Marketing Review Associate

  • Location: Short Hills, NJ, New Jersey
  • Type: Perm (Contingency)
  • Job #31365

Compensation: $95,000-$130,000 + bonus

Location: Short Hills, NJ

Publicly traded alternative asset manager Firm is seeking a Compliance Marketing Review Associate to join the Compliance Team. As a Compliance Marketing Review Associate, you’ll work with the team on day-to-day reviews of advertising and projects to support the firm’s expansive growth and provide support to key functions and procedures.

Highlights About the Company & Position:

  • Review and approve advertising material for a registered investment adviser, private and regulated business development companies, and private funds to ensure compliance with investment adviser and broker-dealer regulatory requirements.
  • Assist with preparing and updating advertising-related procedures, tools, and training materials.
  • Effectively communicate and build relationships within the Compliance team and business colleagues and navigate and escalate compliance matters internally.
  • Keep abreast of current FINRA, SEC, state, and other applicable regulatory standards and requirements.
  • Other tasks and responsibilities as assigned.

Requirements/Qualifications:

  • Bachelor’s degree.
  • Minimum of 2 years of industry experience, including compliance experience relating to applicable rules and regulations, and review of marketing material.
  • FINRA Series 7 (SIE/S7TO) and 24 are required.
  • Knowledge of SEC and FINRA advertising rules and other relevant securities laws.
  • Ability to interpret rules, regulations, and best practices and apply them consistently across reviews and guidance.
  • Ability to learn, adapt, and thrive in a fast-paced environment.
  • Ability to prioritize workload and adhere to time-sensitive deadlines.
  • Excellent project management and organizational skills.

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

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Job ID: 31365