Compliance Associate

A well-regarded, asset manager is seeking a Compliance Associate to join its lean, high-impact compliance team.

This is not a purely administrative compliance role
. Candidates must have direct experience reviewing and overseeing marketing materials subject to SEC and FINRA marketing rules
.

The Compliance Associate will play a meaningful role across the compliance function, with primary responsibility for marketing compliance and the opportunity to broaden into a more generalist profile over time. The team operates without silos and works closely with senior leadership, including the CCO and General Counsel.

• Primary focus on marketing compliance, including review and approval of marketing materials, communications, and disclosures under SEC and FINRA rules
• Partner with marketing, legal, and investment teams to ensure compliant and efficient execution
• Support broader compliance functions, including:
• Code of Ethics administration
• Trading compliance monitoring
• Regulatory filings (Form ADV, PF, 13F/13G)
• Policies, procedures, and internal documentation
• Assist with regulatory exams, inquiries, and ongoing compliance initiatives
• Contribute to the development of scalable compliance processes and documentation

• 2-4 years of compliance experience within asset management or financial services
• Hands‑on marketing compliance experience preferred
• Exposure to SEC filings (ADV, 13F/13G) a plus
• Strong attention to detail with the ability to manage multiple work streams in a fast-paced environment
• High emphasis on judgment, communication skills, and cultural fit