Compliance Analyst

Pelham Berkeley Search - New York, NY (30+ days ago)

High Profile Financial Services Firm seeks Compliance Analyst.

In this role you will take ownership of all Compliance related oversight programs for advertising and marketing communications.

This is an ideal match for a Compliance Analyst / Associate who works for a smaller fund to join a top tier organization in a highly visible role.

Very competitive compensation including an aggressive bonus incentive in addition to an incredible benefits package.

In summary, you will:

  • Serve as an internal expert on industry regulations and guidelines regarding advertising materials.
  • Develop and maintain guidelines, manuals and processes for the review of advertising and marketing communications.
  • Review and approve sales and advertising literature
  • Perform rules and principals based reviews of advertisements and correspondence, reviewing retail and institutional communications, disclosures, notices, reports, forms, and correspondence.
  • Respond to internal and external inquiries regarding regulatory requirements, including assist with researching and responding to comments and inquiries received from FINRA.
  • Collaborate with Marketing to evaluate current processes, identify areas for improvement and implement solutions.
  • Remain current with the regulatory environment that may affect the review standards and marketing communications.
  • Assist in other areas of the compliance program

Requirements include:

  • 3+ experience of Compliance experience in the hedge fund or asset management company with knowledge of the regulatory environment and regulatory requirements for the Financial Services industry.
  • Extensive experience with Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations.
  • FINRA 7 and 24 licenses required.
  • Completed college degree, MBA/JD grads welcome to apply

Job Type: Full-time

Salary: $100,000.00 to $110,000.00 /year


  • Compliance: 3 years


  • Bachelor's


  • FINRA 7 and 24