Compliance Analyst – Marketing & Communications | Boston Investment Firm Job at Origin Staffing, Boston, MA

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  • Origin Staffing
  • Boston, MA

Job Description

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.

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