Marketing Compliance Analyst – Investment Advisers
Job in
Stamford, Fairfield County, Connecticut, 06925, USA
Listed on 2026-08-22
Listing for:
NewEdge Capital Group
Full Time
position Listed on 2026-08-22
Job specializations:
-
Finance & Banking
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Marketing / Advertising / PR
Job Description & How to Apply Below
New Edge Wealth, a division of New Edge Capital Group, LLC, seeks a Compliance Associate to support the firm’s investment adviser compliance program, focusing on marketing and advertising review under the SEC Marketing Rule and the annual review under Rule 206(4)-7. The role collaborates with Compliance, advisors, and marketing to ensure client communications and disclosures meet SEC standards.
Responsibilities include reviewing materials for regulatory compliance, maintaining tracking logs,
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