Compliance Associate (Marketing & Advertising Review) jobs in United States
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Atlantic Group · 3 hours ago

Compliance Associate (Marketing & Advertising Review)

positionStamford, CT
timeFull-time
remoteHybrid
seniorityMid, Senior Level
money$150K/yr - $190K/yr
date4+ years exp

Atlantic Group is seeking a Compliance Associate (Marketing & Advertising Review) in Stamford, CT, to oversee the review of marketing, advertising, and performance materials across multiple asset classes. The role involves assessing client presentations and ensuring regulatory compliance while providing guidance and training to teams.

B2BHuman ResourcesStaffing Agency
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Growth Opportunities

Responsibilities

Evaluate marketing, client presentations, research, and social media content for regulatory compliance
Ensure alignment with SEC Rule 206(4)-1, FINRA Rule 2210, and other global regulations
Assess hypothetical, projected, and back-tested performance data for compliance accuracy
Support the development and enforcement of internal policies and procedures
Provide compliance training and clear guidance to business development and investment teams
Stay current on regulatory trends and rulemaking to guide policy updates and best practices

Qualification

SEC Rule 206(4)-1FINRA Rule 2210Series 7 licenseSeries 24 licenseMarketing material reviewDigital marketing workflowsPerformance reporting toolsClear communicatorHighly organizedEffective in fast-paced environments

Required

Bachelor's degree in Finance, Business, Law, or a related field
4-7 years of marketing material review experience within an investment adviser or broker-dealer environment
Active FINRA Series 7 and 24 licenses
Familiarity with digital marketing review workflows, performance reporting tools, and internal compliance tracking systems
Strong knowledge of SEC and FINRA regulations
Clear communicator
Highly organized
Effective in fast-paced, collaborative environments

Company

Atlantic Group

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Atlantic Group, founded in 2006, is an industry leader in executive and professional search & staffing.
dateFounded in 2006
location
Nyack, New York, USA
people-size51-200 employees
web-link
http://atlanticrecruiters.com

Funding

Current Stage
Growth Stage

Leadership Team

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John Ricco
Founding Partner
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Recent News

Business Wire
The Atlantic Group, Managing More Than $1.6 Billion in Client Assets, Joins Ameriprise Financial
2025-10-28
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