Job description


  • Entry level
  • No Education
  • Salary to negotiate
  • New York City


Work closely with Managing Directors at top Investment Firm to provide compliance support to a number of firms' businesses. A significant portion of time is expected to be devoted to reviewing marketing materials.Responsibilities:

- Review marketing materials (primary responsibility)
- Liaise between marketing compliance associates in each business group to manage Firm Strategic Partnership relationships
- Conduct email review
- Manage logistics for organizing compliance training and work with CCO to develop content
- Conduct training for Firm new hires on a regular basis
- Assist with annual broker-dealer compliance reviews (i.e., annual firm testing and branch testing)
- Assist in preparing annual FINRA risk control assessment
- Work on Private Wealth Management initiatives
- Assist in the drafting of compliance policies and procedures
- Take on additional assignments as needed


- Bachelor’s degree or equivalent
- Two to three years of compliance experience at a financial institution such as a bank or asset manager
- Experience reviewing marketing materials for compliance with SEC and FINRA rules
- Strong analytical and issue-spotting skills
- Ability to communicate confidently and effectively
- Ability to work independently but still be a strong team player
- Substantial initiative, creativity and drive
- Attention to detail

  • broker
  • marketing