Marketing Compliance Specialist
Marketing Compliance Specialist
A well-established alternative investment firm is seeking a Marketing Compliance Specialist to join its team. This individual will work closely with senior compliance leadership and play a key role in overseeing marketing-related compliance initiatives as well as supporting the broader compliance program across both advisory and fund structures.
Key Responsibilities
- Lead and manage all marketing compliance activities across the firm
- Review and approve internal and external communications, including marketing materials, investor communications, presentations, and website content
- Support the ongoing maintenance and enhancement of the firm's compliance program (investment adviser and fund structures)
- Assist in managing third-party compliance relationships, including external consultants and distribution partners
- Oversee compliance-related technology platforms and tools
- Support registered representative compliance where applicable
- Assist with preparation and coordination of regulatory filings
- Contribute to updates of fund documentation (offering materials, subscriptions, redemptions, etc.)
- Participate in ad hoc compliance projects as needed
Qualifications
- 5+ years of relevant experience in marketing compliance within asset management, hedge funds, or alternative investments
- Strong knowledge of U.S. securities laws, including the Investment Advisers Act and Investment Company Act
- Bachelor's degree with a strong academic record
- Excellent written and verbal communication skills
- Highly detail-oriented with strong analytical and organizational abilities
- Ability to manage multiple priorities and work collaboratively across teams
Compensation & Benefits
- Competitive base salary in the range of $110,000-$125,000, depending on experience
- Eligibility for discretionary bonus compensation
- Comprehensive benefits package, including healthcare, retirement plan, and paid time off
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