Compliance Officer

Cerity Partners•Saratoga Springs, UT

13d

About The Position

Cerity Partners is seeking a Compliance Officer to join its Compliance Department with a primary focus on marketing and advertising compliance. This individual will serve as a key resource within the compliance team, responsible for the review and approval of marketing materials across the firm’s affiliated entities, the implementation and maintenance of compliance policies and procedures related to advertising, and ongoing support of the firm’s broader regulatory obligations. The Compliance Officer will work closely with the firm’s marketing, business development, and investments teams, as well as senior compliance leadership, to ensure that all communications and marketing activities comply with SEC Rule 206(4)-1 (the Marketing Rule) and other applicable requirements under the Investment Advisers Act of 1940. Given the firm’s size, continued growth through acquisitions, and active presence across multiple channels and affiliated entities, this role requires strong regulatory knowledge, sound judgment, and the ability to provide clear, practical guidance in a dynamic environment.

Requirements

Bachelor’s degree required
Compliance experience at an SEC-registered investment adviser, broker-dealer, or compliance consulting firm
Working knowledge of SEC Rule 206(4)-1 (the Marketing Rule), including testimonials, endorsements, third-party ratings, and performance advertising requirements
Familiarity with the Investment Advisers Act of 1940, including Form ADV filing requirements and SEC examination processes
Strong analytical, writing, and communication skills with the ability to translate complex regulatory requirements into practical, business-oriented guidance
Ability to manage multiple priorities and work effectively across teams in a fast-paced, growth-oriented environment
High degree of professional judgment, integrity, and attention to detail
Applicants must be authorized to work for any employer in the U.S.

Nice To Haves

advanced degree in law, finance, or a related field a plus
Experience with compliance management systems and advertising review workflows preferred

Responsibilities

Review and approve marketing materials for compliance with SEC Rule 206(4)-1, including pitch decks, RFPs, website content, and social media
Analyze whether communications meet the definition of “advertisement” under the Marketing Rule, applying the two-prong definition to novel and evolving content types and distribution channels
Assess testimonial and endorsement arrangements for required disclosures, compensation screening, ineligible person restrictions, and written agreement requirements
Evaluate third-party ratings and rankings for disclosure compliance, including methodology, time period, and compensation disclosures
Review performance and hypothetical performance presentations for compliance with applicable conditions, net/gross presentation requirements, and required disclosures
Maintain firm disclosure libraries, advertising recordkeeping obligations under Rule 204-2, and written supervisory procedures related to marketing content
Partner with marketing, business development, and investments teams to provide clear, actionable guidance on advertising compliance questions
Support annual Form ADV amendments, including data collection, item-by-item review, and coordination with internal stakeholders
Assist with SEC examination preparation and response, including document collection, production, and drafting of cover correspondence
Monitor SEC rulemaking, risk alerts, and examination priority releases and assess impact on firm policies and procedures
Conduct compliance due diligence in connection with M&A integrations, including review of existing disclosures, referral arrangements, and marketing materials
Develop and deliver compliance training to advisors and business teams on regulatory requirements and firm policies
Remain current and anticipate changes in the regulatory environment that may impact the review standards and marketing communications
Assist with or contribute to other ad hoc compliance initiatives and projects as directed