Compliance Associate, Marketing & Distribution
Job Location:
Philadelphia, PA - USA
Monthly Salary:
Posted:
Application Deadline:
Vacancies:
Job Summary
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:
- Bachelors degree.
- 25 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.
Required Experience:
IC
