Compliance Associate, Marketing Review- Top Investment Firm

  • Base + Bonus + Benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 17 Jan 19

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.


  • 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