Marketing Compliance Analyst

Job Description What is the opportunity? As a Senior Marketing Compliance Analyst, you will play a critical role in supporting the firm’s Institutional and Retail marketing compliance framework. This role primarily focuses on executing marketing compliance reviews and managing the day-to-day workflow queue under the guidance of the Associate Director. You will ensure marketing, performance, and sales materials adhere to firm policies and regulatory standards (e.g., SEC, FINRA), while escalating…