Compliance Analyst – Marketing & Communications | Boston Investment Firm
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 youâre 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.
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