As a Senior Marketing Compliance Analyst, you will play a critical role in supporting the firm’s Institutional and Retail marketing compliance framework
Job Summary
As a Senior Marketing Compliance Analyst, you will play a critical role in supporting the firm’s Institutional and Retail marketing compliance framework.
The role offers a comprehensive Total Rewards Program including competitive compensation, flexible benefits, and opportunities for professional development.
You will work in a dynamic, collaborative, progressive, and high-performing team with opportunities to make a lasting impact.
Matching Summary
As a Senior Marketing Compliance Analyst, you will play a critical role in supporting the firm’s Institutional and Retail marketing compliance framework.
Salary
Base: $60,500-$104,500; Bonus/Equity: Discretionary variable compensation; Benefits: 401(k) with company match, health, dental, vision, life, disability insurance, paid time off
Skills & Requirements
Must-have
Marketing compliance reviews
Regulatory standards adherence
Compliance workflow management
Internal stakeholder engagement
Documentation and audit support
Nice-to-have
Experience with compliance platforms
Digital marketing compliance knowledge
Understanding of SEC marketing rule
Relationship building skills
Attention to detail
Key Requirements
3+ years marketing compliance experience
Series 7 license required
Series 24 license required or obtainable within 90 days
Knowledge of SEC, FINRA, Investment Advisor Act
Experience in financial services regulatory review