Compliance Analyst – Marketing & Communications | Boston Investment Firm Job at Origin Staffing, Boston, MA

b0xjVmo2ZU9jVDJNZ252MHdiM1NhaUZvOGc9PQ==
  • Origin Staffing
  • Boston, MA

Job Description

A leading investment management firm is seeking a  Compliance Analyst  to join its Legal & Compliance team with a primary focus on  marketing material review . This role is ideal for someone who enjoys collaborating with Marketing and Sales teams, ensuring marketing content and client communications meet SEC and firm standards.

Key Responsibilities

  • Review and provide compliance oversight of marketing and client materials (fact sheets, pitch books, web content, social media, and third-party pieces).
  • Ensure alignment with the SEC Marketing Rule (Rule 206(4)-1) and related regulations.
  • Support RFPs, DDQs, client certifications, and other client deliverables.
  • Contribute to audit and regulatory exam preparation and responses.
  • Assist in developing compliance training and support broader compliance initiatives.

Qualifications

  • Compliance experience within investment management, with emphasis on  marketing/advertising review .
  • Strong working knowledge of the Investment Advisers Act and Rule 206(4)-1.
  • Experience reviewing marketing materials for institutional and retail audiences.
  • Strong organizational skills, detail orientation, and communication skills.

If you’re a compliance professional looking to deepen your expertise in marketing review while working closely with investment, marketing, and sales teams, this is a great opportunity to step into a visible, impactful role.

Job Tags

Similar Jobs

Solomon Page

Director of Technology Job at Solomon Page

Our Client is seeking a Director of Technology who will lead their overall technology strategy, infrastructure, systems, cybersecurity, and digital transformation initiatives in support of a growing commercial finance and specialty lending platform. This role will partner...

Sell Quick Tampa

Sales Development Representative Job at Sell Quick Tampa

WeareaTampa-basedrealestateinvestmentcompany.Thisroleisbuiltforearly-careerprofessionalswhoarecomfortableonthephone,sharpwithtechnology,andabletoperformconsistentlyinametric-drivenenvironment. Interviewsthismonth.Startdateforthis...

M. Hugee Enterprises

Independent Sales Marketing Agent-100% Commission Based Only) Job at M. Hugee Enterprises

 ...Now Hiring: Experienced Independent Digital Marketing Sales Agents(Remote |High Commission) We are seeking driven and experienced independent marketing agents to promote and sell a suite of digital, non-attorney business templates tailored for professionals in: *... 

DUNCAN PARNELL INC

Operations Assistant Job at DUNCAN PARNELL INC

 ...inventory and supplies, setting up and testing rental equipment, processing customer orders, and maintaining accurate inventory levels. The...  ...and motivated self-starter who demonstrates a strong work ethic, positive can-do attitude, and service orientation toward... 

Massachusetts Institute of Technology

Assistant Professor or as Associate Professor without Tenure Job at Massachusetts Institute of Technology

The Massachusetts Institute of Technology (MIT) Sloan School of Management in Cambridge, MA, invites applications for faculty positions in the Technological Innovation, Entrepreneurship, and Strategic Management (TIES) Group, starting July 1, 2027, or as soon thereafter...