TPG
Compliance - Broker Dealer - Marketing Review, Associate
$110K
New York - 245 Park Avenue · Full-time · Posted Jul 21, 2026
- Experience
- 4+ years of professional compliance experience within financial services.
About the job
Conduct broker-dealer compliance oversight of TPG’s fundraising and capital markets activities, including marketing review, communications surveillance, regulatory filings, and compliance program support.
What you'll do
- Review marketing materials, investor communications, firm communications, and conduct communications surveillance.
- Prepare regulatory filings; support broker-dealer personnel licensing and registration; review regulatory changes.
- Develop, implement, test, and update compliance policies and procedures; conduct employee training.
What they ask for
- Ability to work well in a team environment.
- Strong written and verbal communication skills.
- Attention to detail, problem-solving skills, and 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.
Pay
$110,000 – $125,00 USD base salary
Tools
Advisers Act, FINRA rules, FINRA Series 7, Series 24
Model-written summary · the original posting is authoritative