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.


  • 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.

Attach a resume file. Accepted file types are DOC, DOCX, PDF, HTML, and TXT.

We are uploading your application. It may take a few moments to read your resume. Please wait!

Job ID: 31365