Senior Compliance Associate

Posted 10/19/2021 By Stephanie Callis

Our client is adding to its expanding global team! This position can be 100% remote to applicants in CA, DC, FL, IA, IL, MA, MO, NC, NJ, NY, TX and VA

The Senior Compliance Associate will manage the firm's global marketing review compliance process.

Job Skills and Abilities

  • Deep understanding of securities laws, rules and regulations within registered investment advisers and private fund offerings, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Regulation D and the SEC Advertising Rule
  • Conduct compliance marketing review on Firm marketing materials to promote compliance with the SEC Advertising Rule
  • Knowledge of technical regulatory requirements to team members across the organization
  • Considerable personal experience presenting, interacting, and building effective relationships with professionals, including executive management, sometimes in difficult situations


  • Compliance review of all marketing materials, website reviews, investor communications, RFPs and DDQs
  • Assist with the development of training content and the delivery of training to employees, including support of automated training tools


  • Bachelor's degree
  • Work Experience
  • 5+ years of experience in compliance roles within an investment adviser or asset management firm
Want more information?

Complete the form below and Stephanie will follow up with you to discuss this position, or you can call her at 617-281-0203.

Upload my Resume (optional)