Compliance Marketing Review Associate

About the Company

AQR is a global investment management firm built at the intersection of financial theory and practical application. We strive to deliver superior, long-term results for our clients by seeking to filter out market noise to identify and isolate what matters most, and by developing ideas that stand up to rigorous testing.

Responsibilities

• Conduct comprehensive and timely reviews of marketing and client-facing materials, client reports, research papers, and social media content
• Assess materials across multiple asset classes for compliance with global regulations including SEC, FINRA, ESMA, and FCA
• Review complex presentations, including hypothetical and back-tested performance, for regulatory compliance
• Provide proactive, solution-oriented guidance to business development and investment professionals
• Interpret and communicate relevant regulatory rules and developments into actionable guidance
• Maintain industry knowledge by monitoring rulemaking initiatives and risk alerts
• Assist with the implementation and updating of internal policies and procedures
• Provide training and informational tools to staff on compliance requirements

Requirements

• Bachelor's degree
• 3-5 years of experience reviewing marketing material, preferably with an investment adviser or broker-dealer
• Strong understanding of SEC Rule 206(4)-1, FINRA Rule 2210, ESMA, and FCA regulations
• Excellent oral and written communication skills
• Ability to manage projects independently and meet tight deadlines