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 you’re 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.