Our client, a leading asset manager, is seeking a Compliance Analyst to join its team in New York. This is a strong opportunity for a detail-oriented professional to build their career within a well-established and fast-paced investment environment.
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
- Bachelor’s degree required
- 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
