Associate, Compliance (Advertising & Marketing)

Job description

About Baron Capital Baron Capital is a leading asset management firm founded in 1982. We believe that hiring, retaining, and nurturing talented individuals who share our passion for excellence, integrity, and innovation is the key to our success. This means creating a welcoming, inclusive, and inspiring environment for all, as well as providing the resources and support our employees need to succeed. We take pride in our exceptionally low turnover and consider it a testament to our culture of collaboration and open communication. If you are looking for a career where you are part of a dynamic team where you can truly make a difference, we invite you to consider joining us. About the Role: Review retail and institutional communications, disclosures, notices, reports, forms, and correspondence for compliance with firm and industry rules. Rules and principals-based reviews of advertisements and correspondence from FINRA and SEC perspective. Respond to internal and external inquiries regarding regulatory requirements. Key Responsibilities: - Serve as an internal expert resource on industry regulations and guidelines regarding advertising materials. - Develops and maintains guidelines,...