Associate Director - Marketing Communications Compliance
About The Position
We are seeking a forward-thinking, solutions-oriented compliance professional to join our U.S. Distribution Compliance team as an Associate Director – Marketing Communications Compliance. This role is a unique opportunity to sit at the intersection of marketing compliance, model oversight, and strategic governance, while contributing directly to the expansion of our model and SMA capabilities. This position is ideal for individuals who thrive in dynamic, high-impact environments. You will play a key role as a trusted partner and resource to the business, helping teams navigate regulatory expectations with clarity, confidence, and practicality. You will shape “rules of the road” for marketing and model-related communications, elevate disclosure practices, and help build scalable, technology-enabled processes that support growth.
Requirements
- FINRA SIE, Series 7 and 24 registrations required
- Eight years of experience in the financial services industry with a significant emphasis on compliance analysis of broker dealer and advisory advertising
- Proven in-depth knowledge and understanding of applicable SEC and GIPS requirements for investment advisers; familiarity with CFTC and FINRA regulations for exchange traded products and mutual funds
- Experience applying FINRA advertising regulations to social media and public relations related communications
- Outstanding time management, organizational and follow-up skills to effectively plan and independently take tasks to completion within specified time frames
- Ability to manage and prioritize multiple tasks simultaneously, maintain focus and provide exceptional service levels in a dynamic environment
- Intermediate to advanced computer skills, including social media software, electronic workflow systems, Microsoft Word and Excel
Nice To Haves
- Bachelor's degree or equivalent
- Experience reviewing institutional marketing, private funds, SMAs, and model portfolios
- Be skillful at identifying and proactively resolving issues, including offering solutions and alternatives within regulatory frameworks
- Scrupulous attention to detail and accuracy
- Familiarity with AI-driven content governance and automated review technologies and governance platforms.
Responsibilities
- Review advertising and marketing materials across channels pursuant to FINRA and SEC Regulations and GIPS standards.
- Review and advise on marketing communications related to new product launches and product changes, ensuring disclosures, performance information, and positioning align with regulatory expectations and internal standards.
- Deliver timely, practical, and well-reasoned guidance that helps business partners market effectively while staying within regulatory guardrails.
- Write clear, accurate, and compelling disclosures, ensuring our communications meet regulatory standards and reflect best-in-class transparency.
- Develop and help maintain “rules of the road” frameworks to support consistent, efficient, and scalable review standards across Marketing, Distribution, Product, Investments, and RBA teams.
- Build strong, collaborative partnerships with internal stakeholders – acting as a resource who anticipates needs, problem-solves quickly, and communicates with diplomacy and confidence.
- Stay ahead of evolving regulations, interpret their impact, and translate requirements into actionable guidance for cross-functional partners.
- Lead process-improvement initiatives, optimizing workflows, elevating documentation standards, and helping implement technology that modernizes the review process.
- Influence and support firm-wide initiatives, working with sales, marketing, product management, PR/communications, and other partners to drive alignment and embed compliance considerations early in the process.
- Participate in and lead ad-hoc and recurring projects across the Compliance department and broader organization.
- Contribute to a culture of continuous improvement, operational excellence, and proactive risk management.
- Carry out other duties as assigned.
Benefits
- Hybrid working and reasonable accommodations
- Generous Holiday policies
- Paid volunteer time to step away from your desk and into the community
- Support to grow through professional development courses, tuition/qualification reimbursement and more
- Maternal/paternal leave benefits and family services
- Complimentary subscription to Headspace – the mindfulness app
- Corporate membership to ClassPass and other health and well-being benefits
- Unique employee events and programs including a 14er challenge
- Complimentary beverages, snacks and all employee Happy Hours
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
