Compliance Associate (Asset Management) at Social Capital Resources
Description
Top-Tier Investment Management firm in Midtown, Manhattan is seeking a Compliance Associate for a full-time position! Responsibilities: Responsible for advertising and marketing compliance Respond to internal and external inquiries regarding regulatory requirements Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules Collaborate with the Marketing team and control functions to evaluate current processes, identify areas for improvement, and implement solutions.
Effectively track advertising and sales literature using applicable methods and tools per industry/company record retention requirements.
Participates in applicable projects to make significant structural changes to the advertising compliance review process.
Review and approve sales and advertising literature for registered products, SMA’s.
Develop and implement effective methods and best practices for reviewing marketing communications.
Assist in researching and responding to comments and/or inquiries received from FINRA.
Qualifications: Bachelor’s Degree Knowledge of regulatory environment and some level of specific regulatory requirements for the Financial Services industry.
Fundamental investment concepts, practices and procedures used in the securities industry.
- Role: Compliance Associate (Asset Management)
- Company: Social Capital Resources
- Location: New York, NY
- Job found on: 1st of December, 2025
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