Compliance Marketing Review

We are seeking a highly motivated and detail-oriented professional to join our Compliance

Marketing Review team at the Associate level, depending on prior experience and other

qualifications. The ideal candidate will play a key role in supporting the firm’s global marketing

and business development initiatives by reviewing and advising on a broad range of marketing

materials to ensure compliance with regulatory requirements and internal standards. This role

offers exposure to various investment strategies, product vehicles, and senior stakeholders across

the firm.

Responsibilities Include:

• Conduct comprehensive and timely reviews of various materials, including but not limited to

marketing and other client-facing material, client reports, research papers, webisodes, and

social media content.

• Assess materials across multiple asset classes and investment strategies for compliance with

applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, non-US regulatory

regimes) and internal firm policies.

• Apply expertise in the review of complex presentations, including hypothetical and back-tested

performance, reviewing for regulatory compliance.

• Provide proactive, clear, and solution-oriented guidance to business development and

investment professionals regarding compliant advertising and performance reporting

practices.

• Interpret and communicate about relevant regulatory rules and developments, translating

them into actionable compliance and business guidance.

• Maintain relevant industry and regulatory knowledge, including monitoring and providing

feedback on relevant rule making initiatives, risk alerts and other regulatory matters.

• Assist with the implementation of new policies and procedures as well as with updating

existing policies and procedures.

• Provide training and informational tools to relevant staff on compliance policies and

procedures and regulatory requirements.

Requirements:

• Bachelor's degree

• 3-5 years minimum experience reviewing marketing material, preferably with an investment

adviser or broker-dealer

• Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment

Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules,

regulations, and interpretive guidance

• Proactive time management skills and the ability to manage projects independently

• Role requires work outside of regular business hours on an as needed basis, including

monitoring email during evenings and weekends