Compliance - Broker Dealer - Marketing Review, Associate
- Pay
- $110,000 – $125,000 per year
- Location
- New York - 245 Park Avenue · On-site
- Job type
- Full-time
- Level
- Entry level
- Experience
- 4+ years
- Listed
- 31 days ago
Skills & highlights for this role
- FINRA Series 7
- FINRA Series 24
- FINRA rules
- Advisers Act
- communications surveillance
- compliance policies and procedures
Also useful
- regulatory filings
- employee training
Stated benefits & perks
- Health
- Pto
Overview
TPG has an exciting opportunity for an Associate to join its broker-dealer Compliance team in the New York office. Responsibilities include conducting compliance oversight of the firm's fundraising and capital market activities and designing and implementing compliance policies, procedures, and systems to ensure that TPG and its respective platforms fulfill their legal and regulatory obligations and meet the firm's high compliance standards. This role requires regular interaction with business, legal, and compliance personnel across the firm.
Requirements
- 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
- Familiarity with the Advisers Act and FINRA rules preferred
- FINRA Series 7 and Series 24 licenses or willingness to obtain within six months
Responsibilities
- 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
Pay and benefits
It is expected that the annual base salary for this role will range from $110,000 - $125,00. Base salary is one component of TPG's competitive total rewards package which typically includes discretionary compensation, comprehensive health benefits, and paid time off. Other incentives may also be available to certain eligible employees.
About TPG
TPG is a leading global alternative asset management firm, founded in San Francisco in 1992, with investment and operational teams around the world. TPG invests across a broadly diversified set of strategies, including private equity, impact, credit, real estate, and market solutions, and our unique strategy is driven by collaboration, innovation, and inclusion. Our teams combine deep product and sector experience with broad capabilities and expertise to develop differentiated insights and add value for our fund investors, portfolio companies, management teams, and communities.
TPG's success depends on our people, and we build and sustain our world-class team by creating an inclusive, supportive culture within the firm that seeks excellence and encourages humility and transparency. The quality of our investments and our ability to build great companies depend on the originality of our insights.
Reaching our firm's full potential means supporting every team member to bring the fullness of their unique perspective to their work and to our community. We are committed to a diverse, equitable, and inclusive workplace to foster diversity of thought and reflect the breadth of our limited partners and portfolio companies.
Equal opportunity and legal notices
TPG is an equal employment opportunity employer that provides equal employment opportunities to all employees and applicants without regard to age, race, religion, color, national origin, ancestry, sex, sexual orientation, gender (including gender identity and expression), alienage or citizenship status, military or veteran status, physical or mental disability, medical condition, genetic information, pregnancy status, breastfeeding (or related medical conditions), familial status, caregiver status, or any other category protected by applicable federal, state, or local laws.
From TPG Careers Page's careers page, first listed on Rolev.ai on October 10, 2026. Rolev.ai is not the employer.
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Common questions
What is the salary for the Compliance - Broker Dealer - Marketing Review, Associate role at TPG Careers Page?
The Compliance - Broker Dealer - Marketing Review, Associate posting at TPG Careers Page states compensation of $110,000 – $125,000 per year. It is listed as a full-time position. Final pay may depend on location, experience, and interview evaluation on TPG Careers Page's official career site.
Where is the Compliance - Broker Dealer - Marketing Review, Associate job at TPG Careers Page located?
This Compliance - Broker Dealer - Marketing Review, Associate position at TPG Careers Page is located in New York - 245 Park Avenue (On-site). Always check TPG Careers Page's application page for specific state eligibility or relocation policies.
What qualifications are required for Compliance - Broker Dealer - Marketing Review, Associate at TPG Careers Page?
For the Compliance - Broker Dealer - Marketing Review, Associate role, TPG Careers Page highlights 4+ years of relevant experience; experience with FINRA rules, Advisers Act, communications surveillance, compliance policies and procedures. Rolev.ai can score your existing resume against these requirements and show any skill gaps before you apply.
How do I apply for the Compliance - Broker Dealer - Marketing Review, Associate position at TPG Careers Page?
This listing links directly to TPG Careers Page's Greenhouse application page. You can apply directly on TPG Careers Page's site, or use Rolev.ai to check your resume fit, generate a zero-hallucination tailored resume and cover letter for this posting, and autofill the Greenhouse application form in 1 click with the Rolev.ai Chrome extension. You always review the form and press Submit yourself.