Compliance - Broker Dealer - Marketing Review, Associate

The role

The Associate will conduct compliance oversight of fundraising and capital market activities. This role involves designing and implementing compliance policies, procedures, and systems to meet legal and regulatory obligations.

What you will do

• Review marketing materials and investor communications
• Review firm communications, including press releases and social media posts
• Conduct communications surveillance
• Prepare regulatory filings
• Support FINRA licensing and registration process for broker dealer personnel
• Develop, update, and implement compliance policies and procedures
• Support and execute testing of policies and procedures
• Develop and conduct employee training and administer electronic training tool
• Review and assess regulatory changes that potentially impact TPG’s broker dealer business

Required qualifications

• 4+ years of professional compliance experience within financial services
• Ability to work well in a team environment
• Strong written and verbal communications skills
• Attention to detail, problem-solving skills, and the ability to handle tasks independently
• FINRA Series 7 and Series 24 licenses or willingness to obtain within six months

Nice to have

• Familiarity with the Advisers Act and FINRA rules

Benefits

• discretionary compensation
• comprehensive health benefits
• paid time off
• Other incentives may also be available to certain eligible employees

About the company

TPG is a leading global alternative asset management firm founded in San Francisco in 1992. The firm invests across private equity, impact, credit, real estate, and market solutions.