Director, Marketing Compliance – Legal Review

Loomis Sayles • Boston, MA

6d • $135,000 - $170,000 • Hybrid

About The Position

The Director of Marketing Compliance - Legal Review is responsible for overseeing the legal review and approval of advertising and marketing communications for our global asset management firm. This role ensures that all materials comply with applicable regulatory requirements, internal policies, and industry best practices, while supporting commercial objectives and efficient time‑to‑market. The role sits at the intersection of Legal, Compliance, Marketing, and Distribution, requiring strong judgment, regulatory knowledge, and the ability to provide practical, solutions‑oriented guidance in a fast‑paced environment. The Candidate should have good interpersonal skills to lead the team and work well with internal clients.

Requirements

• 10+ years experience in legal and/or compliance department of an investment company or in a law firm
• Bachelors degree
• Prior experience performing marketing and advertising review required; experience implementing SEC Rule 206(4)-1 (adopting release and subsequent guidance)
• Prior management experience and training
• Excellent oral and written communications, organizational and time management skills, ability to collaborate with sales, marketing and product groups
• Ability to develop strong working relationships with marketing groups and product teams; provide support and training through conversation and frequent meetings
• Experience in working under pressure, managing multiple conflicting priorities and meeting deadlines in a fast-paced environment
• Competence in interacting with and influencing business associates at all levels
• Excellent judgment and discretion
• Knowledge of rules and regulations for advertising and marketing investment services and products
• Understanding of standards for marketing and advertising advisory services based on the Investment Advisors’ Act, no-action letters, and other legal authority rules

Nice To Haves

• Knowledge and understanding in the following areas is preferred: GIPS rules for one-on-one presentations and advertising/marketing materials Institutional and retail investment vehicles including separate accounts, mutual funds, separately managed accounts (SMAs), private placements, ETFs and alternative investments Adtrax Marketing Compliance review tool

Responsibilities

• Manage and oversee the Marketing Compliance - Legal Review team, including workload allocation, prioritization, and quality control.
• Serve as a subject‑matter expert on advertising and marketing regulations applicable to asset management (e.g., SEC Marketing Rule, MiFID II, UCITS, AIFMD, local jurisdictional rules).
• Establish and maintain consistent review standards, procedures, escalation protocols, and service‑level expectations.
• Review and approve a broad range of materials, including: Marketing presentations, pitch books, factsheets, and website RFPs, RFIs, and due‑diligence questionnaires Thought leadership, commentaries, and white papers Social media and digital communications
• Ensure materials are fair, balanced, accurate, and not misleading, with appropriate disclosures and risk language.
• Advise on performance presentation, use of hypotheticals, ESG claims, and forward‑looking statements.
• Develop, maintain, and enhance marketing and advertising policies, templates, and guidance documents.
• Partner with Legal counsel to monitor regulatory developments and assess their impact on marketing practices.
• Drive process improvements, including use of review systems, templates, and pre-approved content to increase efficiency.
• Act as a trusted advisor to Sales, Marketing, Product, and Investment teams, providing practical guidance and solutions that support business objectives while managing regulatory risk.
• Collaborate closely with global legal and compliance colleagues to ensure consistency across regions.
• Participate in product launches and strategic initiatives from a marketing-review perspective.
• Deliver training to Marketing, Sales, and other stakeholders on marketing rules, regulatory expectations, and internal policies.
• Identify recurring issues or risk themes and proactively address them through guidance or training.

Benefits

• In addition to your compensation, you will have access to a comprehensive benefits package designed to support your health, well-being and financial security.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Number of Employees: 501-1,000 employees