Compliance Analyst

About This Role

This Compliance Analyst role involves partnering with the marketing team of an investment firm to review and approve marketing materials, ensuring they meet regulatory requirements in both domestic and international markets. The position suits an analyst with a focus on marketing or advertising review in financial services.

Responsibilities

• Review and approve marketing materials and social media content in accordance with FINRA, SEC, and applicable international regulatory requirements
• Serve as a day to day compliance resource for the marketing team, providing practical guidance on regulatory considerations for new campaigns and materials
• Develop and maintain policies and procedures related to marketing, communications, and social media
• Monitor regulatory developments across jurisdictions and assess the impact on the firm's marketing activities globally
• Partner with Compliance and Marketing colleagues across regions to ensure consistent application of marketing standards internationally
• Assist with regulatory examinations and inquiries related to marketing and communications activity
• Identify and escalate potential compliance issues and work with stakeholders to implement appropriate remediation

Requirements

• Bachelor's degree is preferred
• 5 to 7 years of compliance experience with a focus on marketing or advertising review at a broker dealer, asset manager, or financial services firm
• Working knowledge of FINRA Rule 2210 and SEC advertising rules
• Familiarity with social media compliance requirements
• Strong communication skills and ability to provide clear practical guidance to non-compliance stakeholders

Nice to have:

• Familiarity with international marketing requirements across key jurisdictions such as the UK, EU, and APAC is a plus

About the Company

Our client is an investment firm.