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Marketing Compliance Analyst

  • Location: New York, NY
  • Job Type: Right to Hire
  • Ref No: 23-00369
  • Date: January 25, 2023
  • Pay: $50.0 - $60.0 per Hour USD
  • Job title:


Job Description - Marketing Compliance Analyst

A fintech company is seeking a Compliance Analyst. The Marketing Compliance Analyst to join our growing team. This role is both unique and integral to the firm, in its alignment of compliance, investment operations, retail banking and customer service. The Marketing Compliance Analyst will be the primary person responsible at the firm for the review of marketing and advertising materials under Client rules.





What You'll Do

  • Support the Chief Compliance Officer by administering marketing and communications reviews by Investment Advisers Act of 1940, the Securities Exchange Act of 1934, other relevant regulations, and internal policy requirements
  • Lead, organize, and administer marketing and communications review processes
  • Work closely with internal teams to thoroughly review marketing and communications materials within agreed upon timeframe
  • Interact with Compliance team, legal team, and colleagues throughout the organization to help resolve potential compliance issues
  • Ensure compliance with SEC, Client and other applicable rules and regulations
  • File financial promotions with Client as needed

What You'll Bring

  • B.A. in finance, economics or related field
  • 2+ years experience working in legal or compliance at an investment adviser and/or broker dealer
  • 2+ years reviewing and approving advertising/marketing materials concerning Client Rule 2210
  • Series 7, 24 and either 63 or 66 licenses
  • Strong understanding of the 1940 Investment Company Act
  • Strong understanding of banking and investment product
  • Strong analytical skills with attention to detail
  • Interest in FinTech and working in a fast paced startup environment



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