Regulatory Compliance Associate

Pure Search · New York

FULL TIME

Job Description

We are partnering with a leading global investment firm to appoint a

Regulatory Compliance Associate, based in New York.

This is a broad, hands-on role within a lean compliance function, covering marketing and communications review, surveillance, regulatory filings, registrations, testing and policy development. You will join a global platform, gain broad exposure and work closely with stakeholders not only in Compliance and Legal, but the wider business.

Key

Responsibilities

Review marketing materials, investor communications, press releases and social media content

Conduct electronic communications surveillance

Prepare and support SEC and FINRA regulatory filings

Support licensing and registrations for regulated personnel

Develop, update and implement compliance policies and procedures

Execute compliance monitoring and testing

Develop and deliver employee training

Administer the firm’s electronic compliance training platform

Monitor regulatory developments and assess their impact on the business

Requirements

2 - 4 years of compliance experience within financial services

Direct compliance experience supporting a FINRA-registered broker-dealer or adjacent platforms

Hands-on marketing and communications review experience

Working knowledge of FINRA rules and the Investment Advisers Act

Series 7 and 24 licenses, or willingness to obtain them within six months

Strong judgment, problem-solving and communication skills

Ability to work independently and manage multiple responsibilities

A collaborative and adaptable approach suited to a lean team

Company	Pure Search
Location	New York
Type	FULL TIME
Niche	Full-time

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