Compliance Analyst
JW Michaels & Co., New York, NY, United States
About the Role
The
Compliance Analyst
will support the firm’s compliance program with a focus on the review and oversight of marketing materials, communications, and related activities. This role will work closely with internal stakeholders to help ensure all external and internal communications meet regulatory requirements and firm policies. The position offers strong exposure to marketing compliance, regulatory interpretation, and cross-functional collaboration.
Responsibilities
Review and approve marketing materials, client communications, and advertising content for compliance with applicable regulations and firm policies
Conduct ongoing surveillance of communications, including emails, presentations, and digital content
Partner with marketing, legal, and investment teams to provide compliance guidance on campaigns and materials
Assist in maintaining and updating marketing compliance policies, procedures, and guidelines
Support regulatory filings and disclosures related to marketing and communications
Perform periodic testing and monitoring of marketing practices and communications controls
Track and document review workflows, approvals, and compliance records
Respond to internal inquiries related to marketing and communications compliance
Qualifications
4–7 years of compliance experience within financial services, preferably in asset management or broker-dealer environments
Experience reviewing marketing materials and communications for regulatory compliance (e.g., SEC/FINRA rules)
Strong attention to detail and ability to interpret and apply regulatory requirements
Excellent written and verbal communication skills
Ability to manage multiple priorities in a fast-paced, deadline-driven environment
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The
Compliance Analyst
will support the firm’s compliance program with a focus on the review and oversight of marketing materials, communications, and related activities. This role will work closely with internal stakeholders to help ensure all external and internal communications meet regulatory requirements and firm policies. The position offers strong exposure to marketing compliance, regulatory interpretation, and cross-functional collaboration.
Responsibilities
Review and approve marketing materials, client communications, and advertising content for compliance with applicable regulations and firm policies
Conduct ongoing surveillance of communications, including emails, presentations, and digital content
Partner with marketing, legal, and investment teams to provide compliance guidance on campaigns and materials
Assist in maintaining and updating marketing compliance policies, procedures, and guidelines
Support regulatory filings and disclosures related to marketing and communications
Perform periodic testing and monitoring of marketing practices and communications controls
Track and document review workflows, approvals, and compliance records
Respond to internal inquiries related to marketing and communications compliance
Qualifications
4–7 years of compliance experience within financial services, preferably in asset management or broker-dealer environments
Experience reviewing marketing materials and communications for regulatory compliance (e.g., SEC/FINRA rules)
Strong attention to detail and ability to interpret and apply regulatory requirements
Excellent written and verbal communication skills
Ability to manage multiple priorities in a fast-paced, deadline-driven environment
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