Associate, Marketing & Distribution Compliance
Posted
Associate, Marketing & Distribution Compliance
The Associate, Marketing & Distribution Compliance function will support the review and approval of marketing and client materials across private and registered investment products. This individual will work closely with Marketing, Distribution, Legal, Client Services, and Compliance teams to ensure communications are fair, balanced, accurate, and compliant with applicable regulatory requirements.
THE SUCCESSUFUL CANDIDATE IS EXPECTED TO:
- Review and approve institutional marketing materials, presentations, pitchbooks, fact sheets, due diligence questionnaires (DDQs), requests for proposals (RFPs), requests for information (RFIs), and investor communications.
- Assist in ensuring compliance with the SEC Marketing Rule, FINRA Rule 2210, the Investment Advisers Act of 1940, the Securities Act of 1933, and other applicable regulatory requirements.
- Support registered investment adviser marketing and distribution activities by providing compliance guidance to business stakeholders throughout the content development process.
- Partner with Marketing, Distribution, Client Services, Legal, and Compliance teams to facilitate timely review and approval of communications.
- Review performance-related content, hypothetical performance, third-party ratings, testimonials, endorsements, and advertising disclosures to ensure regulatory compliance and consistency with firm policies.
- Assist with the preparation, coordination, and submission of regulatory filings, including FINRA advertising filings and other required regulatory submissions.
- Support responses to client due diligence requests and consultant questionnaires by reviewing content for regulatory accuracy and consistency.
- Maintain records of marketing reviews, approvals, supporting documentation, and audit trails in accordance with recordkeeping requirements.
- Monitor regulatory developments, enforcement actions, risk alerts, and industry trends related to marketing, advertising, and distribution activities.
- Participate in compliance testing, monitoring activities, internal reviews, and regulatory examinations related to marketing and distribution practices.
- Assist with the development and enhancement of marketing review policies, procedures, controls, and governance frameworks.
QUALIFICATIONS:
- 2-5 years of compliance, legal, marketing review, or regulatory experience within asset management, investment advisory, broker-dealer, or financial services environments. Series 7 preferred and ability to obtain series 24
- Working knowledge of the SEC Marketing Rule (Rule 206(4)-1), FINRA Rule 2210, and related advertising and communications regulations.
- Experience reviewing institutional marketing materials for registered investment advisers, alternative investment firms, or asset managers.
- Experience supporting regulatory filings and regulatory examination requests preferred.
- Experience supporting private equity, infrastructure, private credit, real assets, or alternative investment strategies strongly preferred.
- Strong understanding of performance advertising concepts, disclosure requirements, and institutional fundraising practices.
- Exceptional attention to detail, analytical skills, and ability to evaluate complex marketing and disclosure considerations.
- Strong organizational, project management, and stakeholder management capabilities.
- Excellent written and verbal communication skills.
- Experience with marketing review and workflow systems such as Red Oak or similar platforms is a plus.
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 March 31, 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.
Skills
As published by greenhouse · 26 questions · 1 written answer
Basics
First Name, Last Name, Email, Phone, Resume/CV, Cover Letter, Location
Short answers (11)
- Preferred First Name optional
- If you indicated that you require employer-provided work authorization support now or in the future, please briefly describe your current work authorization status and the type of support you would require:
- If you selected "yes" to the previous question, please provide the first and last name(s) of the relative(s): optional
- How did you hear about this opportunity?
- If you were referred to this opportunity, please provide the first and last name(s) of the referring employee(s) or client(s): optional
- City:
- State / Province:
- Country:
- LinkedIn Profile optional
- Website optional
- Applicant Certification: I hereby certify that all statements in this application are true and complete to the best of my knowledge. I understand that any misstatement, omission, or misrepresentation may be grounds for disqualification from further consideration, rescission of any offer of employment, or termination of employment with Future Standard. Please enter your first and last name to acknowledge and agree:
Pick from a list (14)
- Are you at least 18 years of age? (You must be at least 18 years old to submit a job application.)
- Are you legally authorized to work in the United States, and will you be able to provide valid documentation to verify your identity and employment eligibility upon hire?
- Which of the following best describes your current and future U.S. work authorization status?
- What is your earliest availability to start a new role?
- Are you able to work in the primary location for this role on a regular basis (e.g., On-site four (4) days per week)?
- Have you previously applied to or interviewed with Future Standard or any of its affiliates, subsidiaries, or predecessor organizations (e.g., Portfolio Advisors)?
- Have you ever been employed by or provided services as a contractor to Future Standard or any of its affiliates, subsidiaries, or predecessor organizations (e.g., Portfolio Advisors)?
- Are you currently an active contractor working at Future Standard?
- Do you have any relatives currently employed by Future Standard?
- Are you currently subject to any professional, regulatory, or contractual restriction that would prohibit or materially limit your ability to work in this role or for a financial institution?
- Do you currently hold any professional licenses and/or certifications relevant to this role?
- Within the last three (3) years, have you been employed by or been a partner of KPMG LLP, Deloitte, Ernst & Young, Grant Thornton, Cohen & Co., or any of their global affiliates?
- Were you referred to Future Standard for this role?
- Communication Preferences: Do you consent to receive SMS/text messages related to the recruitment process from Future Standard at the phone number provided in your application?
Written answers (1)
- If you selected "yes", please briefly explain: optional