2 months ago
Marketing Compliance Analyst
Man Group
New York City, NY (On-site)Full time$110K/yr – $120K/yr
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Marketing Compliance Analyst
New York City, NY (On-site)
$110K/yr – $120K/yrMid Level1+ years expFull time
Posted 2 months ago
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Job Summary
Own regulatory oversight of marketing communications, coordinating with compliance, marketing, and sales teams to ensure timely approvals and strict adherence to SEC, FINRA, and related rules, while supporting policy updates, training, and disclosure drafting.
- Regulatory review & approval: align across investment, marketing, and business units for compliant communications.
- Disclosures & records: draft disclosures and maintain SEC/FINRA-compliant material records.
- Policy, training, monitoring: support monitoring programs, update procedures, and train personnel on regulatory initiatives.
Job Description
Responsibilities
- Coordinate with investment management compliance, marketing, investment services, supervisory principals, and business units to timely review and approve communications.
- Ensure all communications comply with SEC, FINRA, NFA, CFTC rules and applicable laws and regulations.
- Assist in drafting appropriate disclosures.
- Assist with the compliance monitoring program for marketing materials, update policies and procedures, and conduct periodic training.
- Maintain records of approved materials in line with SEC and FINRA recordkeeping rules and internal procedures.
- Collaborate with the Compliance Team and support other Compliance-related functions and ad hoc projects.
- Provide support in identifying, analyzing, implementing, and monitoring regulatory initiatives relevant to sales, distribution, and marketing.
- Support the development of policies and guidance to equip the firm with compliant marketing materials.
- 1-2 years of marketing compliance experience in an asset management firm
- Current Series 7 and 24 licenses or must pass examinations within 6 months of hire
- Proficient in the Investment Advisers Act of 1940 as it relates to marketing and advertising
- Proficient in FINRA and the Securities Act of 1934 as it relates to communications with the public
- Self-motivated with strong organizational, writing, and communication skills
- Ability to work in a busy environment and multi-task both independently and as part of a team
- You’ll thrive in a working environment that champions equality of opportunity, with opportunities to grow in an inclusive culture.
- Opportunities to contribute to charitable and global initiatives, professional development, and flexible working arrangements, including volunteering days.
- Comprehensive benefits package including holidays, pension/401k, life and long-term disability coverage, sick pay, parental leave, and location-based perks.
Man Group
4.1 Glassdoor
Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager investment strategies are underpinned by deep research and span public and private markets, across all major asset classes, with a significant focus on alternatives. Man Group takes a partnership approach to working with clients, establishing deep connections and creating tailored solutions to meet their investment goals and those of the millions of retirees and savers they represent.Headquartered in London, we manage $172.6 billion* and operate across multiple offices globally. Man Group plc is listed on the London Stock Exchange under the ticker EMG.LN and is a constituent of the FTSE 250 Index. * As of 31 March 2025 Further information can be found at www.man.com
London, England, GBR
3.9K employees (62 in marketing)
85% recommend to a friend
87% CEO approval
Traffic Signals
Monthly Visitors
159.5K
Monthly Google Ads Budget
$7.7K
Traffic Source Mix
Search
43.6%
Direct
43.9%
Referral
8.6%
Social
2.4%
Paid
1.3%
Headcount Trend
Current headcount: ~3.9K
Marketing Team
Marketing Team Size
62 (2% of company)