Compliance Associate, Marketing & Distribution
Future Standard
Salary undisclosed
Need a reasonable accommodation to apply or interview? Contact us.
JobMinglr uses automated technology to recommend jobs based on profile information and job preferences. Match Score does not determine eligibility for a position, prevent a user from viewing or applying to a job, or make hiring decisions on behalf of an employer.
Description
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.
Benefits
- stock options
About this role
Future Standard, a $94 billion alternative asset manager, is seeking an Associate to oversee marketing and distribution compliance across its private and registered investment products. You'd review institutional materials—pitchbooks, fact sheets, presentations, and investor communications—ensuring they meet SEC Marketing Rule, FINRA Rule 2210, and other regulatory standards. The role sits at the intersection of multiple teams: you'll partner with Marketing, Distribution, Legal, Client Services, and Compliance to guide stakeholders through content development, flag compliance risks, and maintain audit trails and recordkeeping.
The position calls for 2 to 5 years in compliance, legal, or regulatory roles within asset management, investment advisory, or financial services. You should have solid knowledge of advertising and communications regulations, hands-on experience reviewing institutional marketing materials, and ideally a background in alternative investments—private equity, infrastructure, credit, or real assets. A Series 7 is preferred; the ability to obtain a Series 24 is expected. Familiarity with marketing review platforms like Red Oak is a plus.
This is an in-office role in Philadelphia suited to someone who thrives on detail-oriented regulatory work, enjoys cross-functional collaboration, and wants to deepen expertise in alternative asset marketing compliance.
This role's local market on JobMinglr
Pay for this role
The employer didn't post a pay range for this role. That usually means pay is set in negotiation, which favors whoever arrives with numbers. Check ranges on comparable Compliance Associate, Marketing & Distribution postings in Philadelphia, and analyze any offer before you accept it.
Before you apply, worth reading
How JobMinglr reads this job
Every listing here is scored against your profile before you apply: skills overlap, experience level, location and work arrangement, each weighted and explained. You see the score and the reasons, not just a list. How the matching works.