Manager, Compliance Marketing Review
About The Position
Hightower is seeking a Manager, Compliance Marketing Review to conduct risk-based compliance reviews of marketing and communications for its registered investment adviser and broker-dealer businesses. The role evaluates materials against the SEC Marketing Rule, FINRA communications requirements, applicable state and federal regulations, and firm policies. It identifies and resolves regulatory and reputational risks involving topics such as performance, testimonials and endorsements, awards and rankings, hypothetical performance, investment claims, and disclosures. The manager provides practical feedback and compliant alternatives, escalates complex matters, and collaborates with Marketing, Legal, Investment Solutions, advisor teams, and other stakeholders. The role also helps maintain policies, procedures, review standards, disclosure guidance, and supervisory controls; develops training and educational resources; monitors regulatory developments; and supports internal audits, regulatory examinations, and inquiries. It contributes to improvements in compliance technology, templates, and workflows, and serves as a resource to colleagues. The position must be able to work West Coast hours. The work arrangement is in-office Monday through Thursday and work from home on Fridays, with a gym and mother’s lounge available onsite at the Chicago office.
Requirements
- Seven or more years of relevant compliance experience with a registered investment adviser, broker-dealer, or dually registered financial services firm, with significant focus on marketing and communications review.
- Demonstrated experience reviewing materials under the SEC Marketing Rule (Rule 206(4)-1) and FINRA Rule 2210.
- Working knowledge of regulatory requirements for investment adviser advertising and broker-dealer communications with the public.
- Experience reviewing complex marketing topics, including performance presentations, testimonials and endorsements, awards and rankings, hypothetical performance, investment products and strategies, and digital or social media communications.
- Ability to analyze regulatory requirements and apply them to business practices using sound, risk-based judgment.
- Ability to translate compliance requirements into clear, practical guidance and workable solutions.
- Strong critical-thinking, written communication, and interpersonal skills, with the ability to educate and collaborate.
- Strong organizational skills and ability to manage competing priorities while producing accurate, high-quality work.
- Proactive, responsive, and solutions-oriented approach, with accountability for assignments from initial review through resolution.
- Ability to work independently, recognize when escalation is appropriate, and collaborate effectively with colleagues and business stakeholders.
- Must be able to work West Coast hours.
- U.S. citizen, U.S. permanent resident, or possess other unrestricted U.S. work authorization without requiring sponsorship now or in the future.
Nice To Haves
- Experience supporting or improving marketing review procedures, supervisory controls, or compliance workflows.
- Experience with marketing review or books-and-records technology.
- FINRA Series 7 and Series 24 licenses.
Responsibilities
- Conduct timely, risk-based compliance reviews of marketing and communications, including blog posts, articles, market commentary, websites, digital and social media content, webinars, presentations, public and media appearances, video and multimedia content, and other retail and institutional communications.
- Evaluate materials for compliance with the SEC Marketing Rule, FINRA communications requirements, applicable state and federal regulations, and firm policies.
- Identify and resolve regulatory and reputational risks concerning performance, testimonials and endorsements, awards and rankings, hypothetical performance, investment claims, disclosures, and other complex marketing topics.
- Provide clear, practical feedback and recommend compliant alternatives that preserve the intended marketing message.
- Escalate novel, complex, or higher-risk matters to compliance leadership and subject-matter experts as appropriate.
- Partner with Marketing, Legal, Investment Solutions, advisor teams, and other stakeholders to support compliant communications and efficient review processes.
- Apply consistent review standards while considering audience, distribution channel, registration status, and applicable RIA or broker-dealer requirements.
- Help maintain and enhance policies, procedures, review standards, disclosure guidance, and supervisory controls for marketing and communications.
- Develop and deliver training and educational resources on marketing compliance requirements and industry best practices.
- Monitor regulatory developments and industry trends and assist with updates to policies, procedures, training, and review practices.
- Support internal audits, regulatory examinations, and inquiries involving marketing and communications.
- Help enhance compliance technology, templates, and workflows to improve review efficiency, consistency, and documentation.
- Serve as a knowledgeable resource to colleagues and contribute to the development of less-experienced team members.
Benefits
- Medical, dental, and vision insurance coverage beginning on the first day of employment.
- Paid parental leave: 16 weeks for a primary caregiver and 8 weeks for a secondary caregiver.
- Mother’s lounge onsite.
- Flexible PTO plan.
- 401(k) matching plan.
- HSA employer contributions.
- Student loan assistance.
- Pet insurance.
- Free gym at the Chicago office.
- Discretionary bonus.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
