Compliance Associate, Marketing & Distribution

Job description

**About the Job** The Compliance Associate, Marketing & Distribution will support the review and approval of marketing, investor and client communications across private and registered investment products. Working closely with Marketing, Distribution, Client Services, Legal and Compliance, this role offers the opportunity to develop specialized expertise in investment marketing and distribution compliance while gaining broad exposure to the firm's products, strategies and regulatory framework. **THE SUCCESSUFUL CANDIDATE IS EXPECTED TO:** **Marketing Review & Business Partnership** - Review marketing, investor and client communications, including presentations, pitchbooks, fact sheets, DDQs, RFPs, RFIs and other materials. - Partner with Marketing, Distribution, Client Services and other stakeholders throughout content development and approval. - Review performance presentations, hypothetical performance, third-party ratings, testimonials, endorsements and required disclosures for consistency with applicable regulatory requirements and firm standards. - Provide practical compliance guidance to business stakeholders regarding marketing and distribution activities. **Regulatory & Compliance Support** - Support compliance with the SEC Marketing Rule, FINRA Rule 2210 and other applicable investment adviser and broker-dealer advertising requirements. - Assist with regulatory submissions, including applicable FINRA advertising filings. - Maintain appropriate documentation and audit trails related to marketing reviews and approvals. - Participate in compliance testing, monitoring, internal reviews and regulatory examinations involving marketing and distribution activities. **Program Development & Growth** - Monitor regulatory developments, enforcement actions and guidance affecting marketing and distribution practices. - Assist with the development and enhancement of marketing compliance policies, procedures, controls and review processes. - Support client and consultant due diligence requests by reviewing regulatory and compliance-related content for accuracy and consistency. **REQUIRED QUALIFICATIONS:** - Bachelor's degree. - 2–5 years of compliance, legal, regulatory, or related experience within asset management, investment advisory, broker-dealer, or financial services. - Familiarity with investment marketing and advertising requirements, including the SEC Marketing Rule and/or FINRA Rule 2210. - Experience reviewing marketing, investor, client, or regulatory communications. - Strong written communication, analytical judgment and attention to detail. - Ability to manage multiple priorities and work effectively with stakeholders across the organization. **PREFERRED QUALIFICATIONS:** - Experience supporting a registered investment adviser, alternative investment manager, asset manager, or broker-dealer. - Experience reviewing performance advertising, disclosures, hypothetical performance, testimonials, endorsements, or similar investment communications. - Exposure to private equity, infrastructure, private credit, real assets, or other alternative investment strategies. - Experience supporting regulatory filings, compliance testing, or regulatory examinations. - FINRA Series 7 and/or Series 24, or ability to obtain applicable licenses as required. - Experience with Red Oak or another marketing compliance review/workflow platform. Future Standard is a global alternative asset manager serving institutional and private wealth clients, investing across private equity, credit, real estate and infrastructure. With a 30+ year track record of value creation and $94 billion in assets under management, we back the business owners and financial sponsors that drive growth and innovation across the middle market, transforming untapped potential into durable value. Total AUM estimated as of June 30, 2026. **Future Standard is an Equal Opportunity Employer.** **Future Standard does not accept unsolicited resumes from recruiters or search firms. Any resume or referral submitted in the absence of a signed agreement is property of Future Standard and no fee will be paid.**