Overview
A leading private credit and investment management firm is seeking an experienced Marketing Compliance Officer to join its New York team. This role is critical in ensuring all marketing and communications adhere to regulatory standards while supporting the firm's growth and client engagement strategies. In addition, the firm is close to registering as a broker-dealer and will have FINRA marketing compliance needs to address as well. Responsibilities
The Marketing Compliance Officer will review and approve marketing materials across multiple channels, ensuring compliance with SEC, FINRA, and other applicable regulations. Responsibilities include partnering with marketing and investment teams to provide guidance on campaigns, presentations, and digital content; maintaining compliance policies and procedures; and monitoring evolving regulatory requirements to keep the firm ahead of industry standards. This position requires strong collaboration skills, attention to detail, and the ability to balance regulatory rigor with business objectives in a fast-paced environment. The position will also assist with the administration of the rest of the compliance program, such as core compliance. Qualifications
Requirements:
3+ years of compliance experience in investment management or private credit firm Expertise in SEC and FINRA marketing rules and advertising regulations Proven ability to review and approve marketing content across multiple platforms Strong communication and documentation skills Series 7 and 24 preferred; JD or advanced compliance certifications a plus
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A leading private credit and investment management firm is seeking an experienced Marketing Compliance Officer to join its New York team. This role is critical in ensuring all marketing and communications adhere to regulatory standards while supporting the firm's growth and client engagement strategies. In addition, the firm is close to registering as a broker-dealer and will have FINRA marketing compliance needs to address as well. Responsibilities
The Marketing Compliance Officer will review and approve marketing materials across multiple channels, ensuring compliance with SEC, FINRA, and other applicable regulations. Responsibilities include partnering with marketing and investment teams to provide guidance on campaigns, presentations, and digital content; maintaining compliance policies and procedures; and monitoring evolving regulatory requirements to keep the firm ahead of industry standards. This position requires strong collaboration skills, attention to detail, and the ability to balance regulatory rigor with business objectives in a fast-paced environment. The position will also assist with the administration of the rest of the compliance program, such as core compliance. Qualifications
Requirements:
3+ years of compliance experience in investment management or private credit firm Expertise in SEC and FINRA marketing rules and advertising regulations Proven ability to review and approve marketing content across multiple platforms Strong communication and documentation skills Series 7 and 24 preferred; JD or advanced compliance certifications a plus
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