Compliance Associate, Marketing & Distribution
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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.
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