Principal, Distribution Compliance (NJ or NYC)

  • Location: Short Hills, NJ
  • Type: Perm (Contingency)
  • Job #32013
  • Salary: $150,000.00

Compensation: $150,000-$225,000 + bonus
Location: Short Hills, NJ New York, NY

Multi-billion asset management firm is looking for an experienced Distribution Compliance Professional to join its compliance team. This role reports to the Head of Distribution Compliance and will work closely with the sales team. This is a hybrid role. 

Highlights About the Company & Position:

  • Review and implement marketing and distribution considerations for global jurisdictions.
  • Provide accurate and practical advice on related topics in a timely fashion.
  • Provide analysis, key updates and education to the sales teams relating to cross border processes and country specific marketing guidelines.
  • Work closely with sales teams and third-party distribution partners to provide compliance guidance and implement policies and procedures on country marketing rules.
  • Develop procedures, informational tools and materials related to cross border marketing and distribution requirements. 
  • Assist with oversight program of placement agents and other related tasks as needed.


  • 10 + years of industry and distribution compliance experience required.
  • Extensive knowledge of securities and exchange commission (SEC) and financial industry regulatory authority (FINRA) marketing required. 
  • Series 7 and 24 licenses required. 
  • Knowledge of distribution securities laws and regulations, and non-US marketing and distribution laws. 
  • Experience working with regulatory change and policy implementation.
  • Excellent written and oral communication 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: 32013