Manager, Compliance Marketing Review

Hightower Advisors•Chicago, IL

2d•Hybrid

About The Position

Hightower is hiring a Manager, Compliance Marketing Review to conduct risk-based compliance reviews of marketing and communications across its registered investment adviser and broker-dealer businesses. The role evaluates materials for compliance with the SEC Marketing Rule, FINRA communications requirements, applicable state and federal regulations, and firm policies. It identifies regulatory and reputational risks, provides practical feedback and compliant alternatives, and escalates novel, complex, or higher-risk matters as appropriate. The position partners with Marketing, Legal, Investment Solutions, advisor teams, and other stakeholders; helps maintain policies, procedures, review standards, disclosure guidance, and supervisory controls; and develops training and educational resources. It also monitors regulatory developments, supports audits and examinations, contributes to improving compliance technology and review workflows, and serves as a knowledgeable resource to colleagues. The position must be able to work West Coast hours. The stated office schedule is in-office Monday through Thursday and work from home on Fridays.

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 applicable to 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 rather than simply dictate.
Strong organizational skills and ability to manage competing priorities while producing accurate, high-quality work.
A 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. citizenship, U.S. permanent residence, or other unrestricted U.S. work authorization; sponsorship must not be required now or in the future.

Nice To Haves

Experience with marketing review or books-and-records technology.
FINRA Series 7 license.
FINRA Series 24 license.

Responsibilities

Conduct timely, risk-based compliance reviews of marketing and communications materials used across the firm’s registered investment adviser and broker-dealer businesses, including blogs, articles, market commentary, websites, digital and social media content, webinars, presentations, public and media appearances, video, multimedia, 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 involving performance, testimonials and endorsements, awards and rankings, hypothetical performance, investment claims, disclosures, and other complex marketing topics.
Provide clear, practical feedback to business partners and recommend compliant alternatives that preserve the intended marketing message.
Escalate novel, complex, or higher-risk matters to compliance leadership and other 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 the 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 governing marketing and communications.
Develop and deliver training and educational resources addressing marketing compliance requirements and industry best practices.
Monitor relevant regulatory developments and industry trends and assist with corresponding 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 the efficiency, consistency, and documentation of the review process.
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.
Onsite mother’s lounge.
Flexible PTO plan.
Work from home on Fridays.
Free gym at the Chicago office.
401(k) matching plan.
HSA employer contributions.
Student loan assistance.
Pet insurance.
Base salary of $120,000–$135,000 plus a discretionary bonus; exact base salary depends on experience.