The Asset Management division of a large diversified global financial institution seeks a Compliance Associate.

The US investment management division manages assets for institutional separate accounts, private funds, registered investment companies and other types of global collective investment vehicles.

The Compliance department oversees the asset management group and the limited-purpose broker-dealer that is involved with fund-sales activities.


This position is responsible for the daily execution of components of the compliance program with a specific focus on activities involving marketing material review.

This position requires an understanding of the asset management business and compliance requirements.

Key Tasks:

  • Review sales and marketing materials including RFPs for investment strategies as well as for fund vehicles (registered and unregistered) to ensure compliance with applicable SEC, FINRA, CFTC and foreign regulations.


  • Perform marketing and advertising surveillance tests.


  • Working knowledge of the advertising regulations under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodities Exchange Act and FINRA a plus.


  • Experience in reviewing sales and marketing materials for institutional asset management firms preferred.


  • Excellent communication skills, both verbal and written.


  • Ability to communicate well with the business and senior management at all levels; Strong building relationship skills.


  • Highly organized; detailed oriented; able to multi-task.


  • 1-3 years or more of compliance experience.

They will be open to bright, motivated, and enthusiastic candidates that possess light Compliance experience but have the desire to learn and grow within Compliance.

Please email resume to Jack Kelly at Jack@ComplianceSearch.com

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