Compliance Officer - Marketing (Fintech)

Location: New York, New York; onsite

Annual base pay: $150,000–$200,000 plus discretionary bonus and benefits

Company

Quantitative trading firm using scientific research, machine learning, advanced technology, and market expertise to develop systematic trading strategies.

What you will do

• Review, approve, and maintain records of marketing, communications, and social media materials.
• Provide day-to-day compliance guidance to the global marketing team on campaigns and initiatives.
• Develop and maintain marketing, communications, and social media policies and procedures.
• Monitor regulatory developments across jurisdictions and assess their impact on marketing activities.
• Support employee personal trading, AML, licensing and registration, regulatory examinations, and other core compliance functions.
• Review research analyst reports for compliance with regulatory requirements and internal policies.

Requirements

• 6 or more years of compliance experience at a broker-dealer, asset manager, or financial services firm.
• Marketing compliance and broader regulatory compliance experience.
• Strong knowledge of FINRA Rule 2210, SEC advertising rules, the Investment Adviser Marketing Rule, and social media compliance requirements.
• Familiarity with AML, licensing and registration, and employee compliance matters.
• Strong communication, organization, and prioritization skills.
• Bachelor’s degree preferred. Visa sponsorship is not available.

Nice to have

• Familiarity with international marketing requirements in the UK, EU, and APAC.

Culture & Benefits

• Intellectually driven and highly collaborative environment.
• Collaboration with researchers, engineers, traders, Compliance, and Marketing colleagues across regions.
• Discretionary bonus and benefits in addition to base pay.
• Work involving global markets, quantitative research, machine learning, and advanced technology.