Marketing Compliance Analyst

Conduct thorough reviews of advertising, sales literature, marketing collateral, digital properties, and thought leadership materials against regulatory and firm standards.,Prioritize and process compliance review requests efficiently to meet business needs.,Apply knowledge of SEC, FINRA, Investment Advisor Act, and Investment Company Act rules to ensure materials meet compliance requirements.,Engage with sales, production, and marketing teams to provide compliance feedback and guidance on routine matters.,Ensure accurate documentation and retention of reviewed materials for audit purposes.,Support internal/external audit processes by providing requested materials and insights under the Associate Director's oversight.,Identify and escalate high-risk or ambiguous compliance matters to the Associate Director for advanced review.,3+ years of experience in marketing compliance, regulatory review, or a related function within financial services.,Series 7 required; must have or be able to obtain the Series 24 within 90 days of hire.,High ethical standards and attention to detail.,Ability to build relationships with internal partners (e.g., marketing, sales, legal).

A degree (e.g., BA/BS) in a relevant field such as Business, Finance, or Law.,Experience reviewing marketing/advertising materials for SEC/FINRA compliance.,Understanding of the Investment Advisor Act, Investment Company Act, and the SEC marketing rule.,Experience with compliance workflow tools or third-party compliance platforms.,Familiarity with digital marketing compliance (e.g., websites, social media).

Bachelor's Degree (or equivalent in Business, Finance, or Law)

Must be able to obtain Series 24 within 90 days of hire.