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Marketing Compliance Officer

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $120k - $130k base

  • Contact:

    Thomas Byrne

  • Contact email:

  • Salary high:


  • Salary low:


  • Job ref:

    Marketing Compliance Officer

  • Published:

    3 months ago

  • Expiry date:


  • Startdate:


We've partnered with a great investment management firm who are looking to hire an autonomous marketing compliance professional to their team.

With offices in New York, LA and Dallas they are open to people inany of those locations or fully remote.

What you'll be doing:

  • Primary reviewer of marketing and advertising materials to ensure compliance with applicable regulatory requirements (e.g., FINRA, SEC, NFA) and filing of materials with regulators as needed
  • Determine how existing regulations apply to various categories of communications including retail, institutional, and internal use only materials
  • Work closely and collaboratively with the Marketing Team on new initiatives, including social media campaigns
  • Provide thought leadership on existing marketing and advertising initiatives and the evolution of investment adviser and pooled vehicle marketing and advertising

What they're looking for:

  • Bachelors degree level educated
  • 3+ years of marketing compliance experience ide
  • Strong knowledge of FINRA and SEC regulatory requirements relating to advertising and marketing materials.

For more information please contact Thomas Byrne at Hamlyn Williams at