Our client is a leading alternative asset management firm, is seeking a Marketing Compliance Associate to support the review, oversight, and approval of marketing and investor communications across the firm. This role sits within the Compliance function and works closely with Marketing, Investor Relations, Legal, and senior stakeholders to ensure all external communications comply with applicable regulatory requirements and internal policies.
Key Responsibilities
Review and approve marketing and investor-facing materials, including pitch decks, fact sheets, websites, RFP/RFI responses, presentations, and thought leadership content
Ensure compliance with applicable regulations, including the SEC Marketing Rule, advertising guidelines, and firm policies
Partner closely with Marketing and Investor Relations to provide practical, business-minded compliance guidance
Assist with maintaining and updating marketing compliance policies and procedures
Monitor regulatory developments related to marketing, advertising, and investor communications and help assess impact to the firm
Support internal training initiatives for marketing and IR teams on compliance standards and best practices
Participate in compliance testing, surveillance, and documentation related to marketing activities
Respond to internal inquiries regarding permissible content, disclosures, and use of performance information
Qualifications
1–4+ years of experience in compliance, legal, or regulatory oversight, ideally within asset management, hedge funds, private equity, or financial services
Familiarity with marketing and advertising regulations (SEC Marketing Rule experience strongly preferred)
#J-18808-Ljbffr
Key Responsibilities
Review and approve marketing and investor-facing materials, including pitch decks, fact sheets, websites, RFP/RFI responses, presentations, and thought leadership content
Ensure compliance with applicable regulations, including the SEC Marketing Rule, advertising guidelines, and firm policies
Partner closely with Marketing and Investor Relations to provide practical, business-minded compliance guidance
Assist with maintaining and updating marketing compliance policies and procedures
Monitor regulatory developments related to marketing, advertising, and investor communications and help assess impact to the firm
Support internal training initiatives for marketing and IR teams on compliance standards and best practices
Participate in compliance testing, surveillance, and documentation related to marketing activities
Respond to internal inquiries regarding permissible content, disclosures, and use of performance information
Qualifications
1–4+ years of experience in compliance, legal, or regulatory oversight, ideally within asset management, hedge funds, private equity, or financial services
Familiarity with marketing and advertising regulations (SEC Marketing Rule experience strongly preferred)
#J-18808-Ljbffr