Director of Compliance, Marketing Review

Hightower Advisors • Chicago, IL

1d • Hybrid

About The Position

Hightower's Compliance Department is dedicated to delivering thoughtful, proactive support. We are passionate about meaningful collaboration and work across the organization to develop practical strategies that serve advisors, their clients, and our home office colleagues while honoring the spirit of regulation. We are looking for a Director of Compliance – Marketing Review to join our team. You will be a valued member of the department working with tenured professionals to help grow and uphold our goals. You will report to the Chief Compliance Officer of Hightower Advisors, an SEC-registered investment adviser, and will manage an established team responsible for the approval of marketing and communications materials. This team ensures adherence to applicable regulatory requirements, including the SEC Marketing Rule, FINRA rules, and internal firm policies. You will play a critical part in mitigating regulatory risk while supporting business growth through compliant marketing practices.

Requirements

• 7+ years of registered investment adviser compliance experience or combination of experience with a registered investment advisor and broker dealer.
• Experience reviewing marketing materials for compliance with the SEC Marketing Rule (Rule 206(4)-1).
• Experience developing team members, with a willingness to remain hands-on in daily work.
• Knowledge of SEC and FINRA rules and regulations as they relate to Hightower's business model and management.
• Ability to analyze complex regulatory requirements in the context of business practices and translate them into practical, risk-based solutions.
• Experience enhancing supervisory control frameworks and procedures.
• Effective at prioritization of workload with competing priorities while producing high quality work.
• Strong interpersonal and relationship-building skills, with the ability to collaborate effectively across teams and influence stakeholders.
• Proactive, responsive, and possessing a solutions-oriented mindset while taking accountability for and ownership of work from start to finish.
• Ability to take initiative and operate independently with sound judgment, while also contributing as a collaborative team leader.
• Exceptional critical thinking and communication skills, ability to educate – not dictate.

Responsibilities

• Lead a team of compliance professionals responsible for marketing approval, providing daily guidance, oversight, and mentorship.
• Oversee the end-to-end compliance review process for many marketing materials, including: Blog posts and articles, Website content, Social media content, Webinars and presentations, Public and media appearances, Video and multimedia content, Other materials, as applicable.
• Serve as the primary escalation point for marketing compliance matters, including addressing complex issues, potential policy violations, and navigating sensitive conversations to accomplish compliant outcomes.
• Participate in compliance reviews, evaluating materials for adherence to regulatory requirements and firm policies, with responsibility for reviewing and approving or escalating especially complex or high-risk content.
• Interpret and apply regulatory requirements, including the SEC Marketing Rule, FINRA advertising rules, and other applicable regulations.
• Collaborate with home office partners and advisor teams to develop risk-based solutions, efficient workflows, and to provide clear, practical guidance on compliant communications strategies.
• Establish and maintain procedures and controls governing marketing and communications compliance.
• Develop and deliver training programs to educate employees on marketing compliance requirements and best practices.
• Monitor regulatory developments and industry trends, recommending updates to internal policies and updating procedures and training materials accordingly.
• Support internal and external audits, regulatory examinations, and inquiries related to marketing and communications.
• Implement and increase compliance technologies and workflows to improve efficiency and consistency in the review process.

Benefits

• Coverage on the first day of employment for medical, dental, and vision insurance
• Paid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregiver)
• Mother's lounge onsite
• Flexible PTO plan
• 401k matching plan
• HSA employer contributions
• Student loan assistance
• Pet insurance

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed