Marketing Compliance Analyst/Associate

Location: New York, New York; full-time onsite role

Salary: $100,000–$120,000 per year, plus eligibility for a discretionary annual bonus

Company

Global alternative asset manager with approximately $938 billion in assets under management as of December 31, 2025, offering investment strategies from investment-grade credit to private equity and retirement services through Athene.

What you will do

• Review and approve marketing materials, investor communications, websites, social media, thought leadership, quarterly letters, webcasts, and other external communications.
• Apply the SEC Marketing Rule, FINRA Rule 2210, and other applicable regulations and firm policies.
• Act as a day-to-day marketing compliance contact for designated products, strategies, and business lines.
• Partner with Product, Legal, Finance, and Marketing teams on regulatory standards and disclosure requirements.
• Identify compliance risks and trends, recommend mitigation steps, and support reporting, metrics, and compliance testing.
• Maintain marketing compliance policies and procedures and monitor regulatory developments affecting advertising and distribution.

Requirements

• Bachelor’s degree or equivalent practical experience.
• 2–6 years of relevant compliance, legal, or regulatory experience within an investment adviser, broker-dealer, asset manager, or comparable financial institution.
• Working knowledge of U.S. securities laws, the Investment Advisers Act of 1940, the SEC Marketing Rule, and FINRA advertising rules.
• Strong analytical skills, attention to detail, and the ability to assess complex materials for regulatory and disclosure considerations.
• Clear written and verbal communication skills and the ability to manage multiple priorities in a deadline-driven environment.

Nice to have

• Experience reviewing marketing materials for private equity, private credit, real assets, insurance, or registered investment products.
• Familiarity with global marketing requirements and non-U.S. regulatory frameworks.
• Experience with marketing review or workflow systems such as Red Oak.
• FINRA Series 7 and/or Series 24 licenses, or willingness to obtain them.
• Ability to translate regulatory requirements into practical, business-oriented guidance.

Culture & Benefits

• Exposure to a broad range of investment strategies and distribution channels.
• Opportunity to contribute to a global marketing compliance program and broader compliance initiatives.
• Eligibility for a discretionary annual bonus based on personal, team, and firm performance.
• Commitment to equal opportunity and compliance with applicable employment legislation.