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Marketing Compliance Associate

Houlihan Lokey

Houlihan Lokey

Marketing & Communications, Legal
Multiple locations
Posted on Thursday, May 2, 2024

Business Unit:



CORP - Corporate


Houlihan Lokey, Inc. (NYSE:HLI) is a global investment bank with expertise in mergers and acquisitions, capital markets, financial restructuring, and financial and valuation advisory. Houlihan Lokey serves corporations, institutions, and governments worldwide with offices in the Americas, Europe, the Middle East, and the Asia-Pacific region. Independent advice and intellectual rigor are hallmarks of the firm’s commitment to client success across its advisory services. The firm is the No. 1 investment bank for all global M&A transactions, the No. 1 M&A advisor for the past nine consecutive years in the U.S., the No. 1 global restructuring advisor for the past ten consecutive years, and the No. 1 global M&A fairness opinion advisor over the past 25 years, all based on number of transactions and according to data provided by LSEG (formerly Refinitiv).


Houlihan Lokey, a leading global investment banking firm, is seeking a self-motivated, proactive Marketing Compliance Associate to support the growing Marketing team. The Marketing Compliance Associate is responsible for overseeing certain regulatory aspects of marketing operations, with the primary focus to review and issue approval of marketing material and communications for compliance with firm policies and applicable regulatory regulations, maintaining the quality and consistency of Houlihan Lokey marketing materials, and advising on applicable compliance guidelines satisfying both US and international regulatory standards. The ideal candidate will be ready to thrive in a fast-paced environment, work collaboratively, and have a vested interest in Houlihan Lokey’s marketing strategy.


  • Engaging with marketing project managers of the Financial Restructuring (FR), Corporate Finance (CF) and Financial and Valuation Advisory (FVA) business units to review and issue approval for marketing material and communications for compliance

  • Act as Registered Principal for marketing materials, including recommending and drafting updates/revisions as necessary

  • Maintaining the quality and consistency of Houlihan Lokey marketing materials, advising on applicable compliance guidelines

  • Working closely with Marketing, Compliance, and Legal, as well as financial professionals across the firm to establish standard of the firm’s marketing efforts (e.g., emails, presentations, white papers, reports, conference/event collateral, bios, webinars, press releases, boilerplates, disclaimers, firm website, article reprints, etc.)

  • Stay current on regulatory developments, act as a subject matter expert regarding firm policies and provide appropriate guidance and training to business partner

  • Serve as a resource to internal partners with inquiries regarding business communications

  • Manage record keeping of approvals as well as related internal communications with the department’s project management software, create summary reports to senior team member that detail compliance findings and corrective actions


  • Possess knowledge of financial services industry as well as relevant investment banking marketing compliance or regulatory experience

  • Bachelor’s Degree or equivalent required

  • Must possess FINRA Series SIE, 63, 7 and/or 79; and Series 24 preferred, or be able to obtain within 120 days post-hire

  • Understanding of applicable laws, regulations and guidance, particularly as it relates to the FINRA and SEC desirable

  • Strong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity and maturity

  • Strong verbal and written communication skills, with an ability to present ideas and information clearly, logically and succinctly

  • A proactive, hands-on, and collaborative attitude is essential, with a readiness to take ownership of certain initiatives

  • Attention to detail, with excellent organisational skill, with the ability to project manage multiple priorities simultaneously

  • Ability to work to tight deadlines/under pressure with limited supervision, focus for extended periods of time with extreme attention to detail

  • High level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic environment

  • Maintain highly confidential information in an ethical, professional manner and exhibit awareness and understanding of ethical principles

Salary Range

Houlihan Lokey is committed to providing its employees with an exciting career opportunity and competitive total compensation package, which may include other components such as discretionary incentive compensation. The firm’s good faith and reasonable estimate of the possible salary range for this role at the time of posting is:


Actual salary at the time of hire may vary and may be above or below the range based on various factors, including, but not limited to, the candidate’s relevant qualifications, skills, and experience and the location where this position may be filled.

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, gender identity, sexual orientation, protected veteran status, or any other characteristic protected by law.