MSH · 20 hours ago
Compliance Analyst
Greater Tampa Bay Area
Full-time
Hybrid
Entry, Mid Level
2+ years expMSH is a growing investment management firm, and they are seeking a Compliance Analyst to support its marketing compliance program. The role involves reviewing marketing materials to ensure compliance with SEC and FINRA regulations, as well as collaborating with marketing teams and supporting broader compliance activities.
Management Consulting
Hiring Manager
John Harris
Responsibilities
Review and approve marketing materials, including:
Fund and investment-related marketing content
White papers, blogs, and written commentary
Website and social media communications
Ensure compliance with:
SEC Marketing Rule
FINRA advertising requirements
Partner with marketing teams to provide guidance and feedback prior to publication
Support broader compliance activities, including:
Code of Ethics administration
Personal trading compliance
Policies and procedures
Regulatory filings and disclosures
Maintain compliance documentation and records
Assist with ad hoc compliance projects and regulatory updates
Qualification
Required
2–4 years of experience in compliance or regulatory roles
Exposure to SEC and FINRA regulations
Experience reviewing marketing, advertising, or disclosure materials
Background in asset management, investment advisory, wealth management, or financial services
Strong attention to detail and sound judgment
Clear written and verbal communication skills
Preferred
Direct experience with investment or fund marketing compliance
Familiarity with ETFs, mutual funds, SMAs, or advisory disclosures
Experience working closely with marketing or business teams
Company
MSH
Scale your team with high-quality, vetted professionals.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Carl Osterman
CTO
Landon Cortenbach, CPA, FMVA
Chief Financial Officer & CxO
Recent News
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