Compliance Officer - Marketing
$150,000–$200,000 year
On-siteNew York City, New York, United States or New York, United States
Job Summary
Review, approve, and maintain records of marketing and social media content in accordance with applicable global regulatory requirements. Serve as the day-to-day compliance resource for the global marketing team, providing practical guidance on regulatory considerations for new campaigns, materials, and social media initiatives. Develop and maintain policies and procedures related to marketing, communications, and social media while monitoring regulatory developments across jurisdictions. Partner with Compliance and Marketing colleagues across regions to ensure consistent application of marketing standards internationally. Support broader core compliance functions including employee personal trading, AML, licensing and registration, and other compliance matters. Assist with regulatory examinations and inquiries related to marketing, communications, and other compliance areas. Review research analyst reports to ensure compliance with applicable regulatory requirements and internal policies.
Required Qualifications
- 6 or more years of compliance experience at a broker dealer, asset manager, or financial services firm with a focus on marketing compliance and broader regulatory compliance functions
- Strong working knowledge of FINRA Rule 2210, SEC advertising rules including the Investment Adviser Marketing Rule, and social media compliance requirements
- Strong communication skills and ability to provide clear practical guidance to non-compliance stakeholders
- Highly organized with the ability to manage a high volume of review requests and competing priorities
Desired Qualifications
- Familiarity with international marketing requirements across key jurisdictions such as the UK, EU, and APAC is a plus
- Familiarity with AML, licensing and registration, and employee compliance matters
- Bachelor's degree preferred
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.