Compliance Manager

District-Partners; Los Angeles (CA); Hybrid; USD 160,000 - 190,000; Full time

Benefits offered by this job

Medical, Dental & Vision Insurance

401(k) with company match

HSA and wellness incentives

Paid maternity & parental leave

Tuition reimbursement & professional发展

Job summary

District Partners is expanding its Compliance team and seeks a Senior Compliance Specialist – Marketing Material Review to oversee all advisor and firm-level communications for SEC compliance. You will ensure materials meet Ad Rules while enabling growth across digital platforms, presentations, and investor communications.

You will lead with precision, translating SEC standards into clear marketing, training teammates, and shaping internal policies to support national branding and growth.

Qualifications

• 5+ years of experience in compliance for a Registered Investment Adviser (RIA).
• Deep working knowledge of the SEC Marketing Rule, guidance, disclosures, and advisor communications.
• Familiarity with advertising review systems such as Red Oak and Seismic is a strong plus.

Responsibilities

• Own the marketing review process for all communications and marketing materials.
• Bridge between Compliance & Marketing/Product teams to guide what’s permissible.
• Provide clear interpretations of SEC rules, Form ADV requirements, and disclosures.
• Maintain and enhance the internal disclosure and compliance content library.
• Administer and train team members on the advertising review system.
• Stay ahead of regulatory trends and shape internal policy accordingly.
• Contribute to audits and process improvements.

Skills

Regulatory compliance experience

SEC Marketing Rule knowledge

Written communication

Deadline management

Education

Bachelor’s degree in business, finance, legal studies, or equivalent

Tools

Red Oak

Seismic

Job description

District Partners has been exclusively retained by a nationally recognized, rapidly scaling wealth management firm (nearly $70B in AUM) that is redefining the future of advisory services. Known for blending high-touch client experience with institutional-grade investment capabilities, the firm is expanding its Compliance team and seeking a Senior Compliance Specialist – Marketing Material Review to support its aggressive growth and national brand presence. This is not a back-office compliance role. This is your chance to become the firm’s go-to authority on the SEC Marketing Rule, shaping how the firm tells its story across digital platforms, advisor presentations, investor communications, media, rankings, awards, and everything in between.

If you’re energized by precision, regulatory nuance, and translating complex SEC standards into clear, compelling marketing content—this role was made for you.

What You’ll Do:

You will be the primary reviewer and subject-matter expert overseeing all advisor and firm-level communications, ensuring full compliance with the SEC’s Marketing Rule (Advisers Act Rule 206(4)-1), while enabling the business to grow boldly and responsibly.

• Own the marketing review process—from advertising and pitch decks to social media, website updates, articles, videos, awards, testimonials, investment proposals, and due diligence questionnaires.
• Serve as the bridge between Compliance & Marketing/Product teams, offering thoughtful guidance—not roadblocks—on what’s permissible while helping craft compliant alternatives.
• Provide clear, business-friendly interpretations of SEC and state regulations, Form ADV requirements, testimonials, endorsements, performance reporting, hypothetical performance, disclosures, and more.
• Maintain and enhance the firm’s internal disclosure and compliance content library.
• Administer and train team members on the advertising review system (e.g., Red Oak, Seismic or equivalent platforms).
• Stay ahead of emerging regulations, regulatory risk trends, examination priorities, and industry best practices—and help shape internal policy accordingly.
• Contribute to high-impact compliance initiatives, audits, and process improvements.

What You’ll Have:

• 5+ years of experience in compliance for a Registered Investment Adviser (RIA), with a core focus on advertising/marketing review and communications.
• Bachelor’s degree in business, finance, legal studies, or equivalent industry experience.
• Deep working knowledge of the SEC Marketing Rule, SEC guidance, performance advertising standards, disclosures, and advisor communications.
• Familiarity with advertising review systems (Red Oak, Seismic) a strong plus.
• Exceptional written communication—able to give feedback that’s clear, concise, constructive, and solution-focused.
• Able to manage multiple deadlines, stakeholders, and evolving priorities with professional urgency.
• High integrity, proactive mindset, and an ability to be both a regulatory guardian and a creative problem-solver.

Compensation & Benefits:

• Target Salary: $175,000 (commensurate with experience)
• Comprehensive benefits package including:
• Medical, Dental & Vision Insurance
• 401(k) with company match
• HSA and wellness incentives
• Paid maternity & parental leave
• Tuition reimbursement & professional development support

Why This Role Matters:

This position sits at the intersection of growth and governance...ensuring the firm's voice is compelling, compliant, and ahead of regulatory scrutiny. Your work directly protects the firm’s reputation, supports advisors, and empowers marketing efforts to scale nationally with confidence.

Location & Flexibility:

This role is hybrid in Century City, California.