Associate, Compliance (Advertising & Marketing)
Baron CapitalNew York, New York, United States
Posted February 27, 2026
120000 - 140000 USD
Full Time
About the Company
Baron Capital is a leading asset management firm that values hiring, retaining, and nurturing talented individuals who share its passion for excellence, integrity, and innovation.
Job Description
Baron Capital is seeking an Associate, Compliance (Advertising & Marketing) to join their team. The role will involve reviewing retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules. The ideal candidate will have experience reviewing marketing materials, knowledge of securities laws, and FINRA licenses.
Requirements
- Bachelor’s Degree
- FINRA 7 and 24 licenses
- 4+ years of experience in asset management industry
- 2+ years of experience in the review of marketing material
- Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations
Benefits
- 401(k) and Profit-Sharing Plan
- Medical, dental, and vision insurance coverage
- Short and long-term disability insurance coverage
- Paid time off programs
- Free corporate gym access
- Subsidized in-office lunch options
- Various employee discounts/perks programs
