Manager, Compliance Marketing Review

HighTower Advisors, LLC; Chicago (IL); On-site; USD 120,000 - 135,000; Full time

Benefits offered by this job

Medical, dental, vision insurance

Paid parental leave

Flexible PTO

Work from home on Fridays

401k matching

HSA contributions

Student loan assistance

Gym in Chicago office

Pet insurance

Job summary

Hightower, a Chicago-based wealth management firm, seeks a compliance professional to review marketing communications for the firm and its registered advisory and broker-dealer businesses.

You will assess materials against the SEC Marketing Rule, FINRA guidelines, and state/federal regulations, delivering actionable feedback and collaborating with Marketing, Legal, and Investment Solutions teams.

Qualifications

• Seven+ years of compliance experience in investment advisory or broker-dealer settings with marketing focus.
• Experience reviewing materials under the SEC Marketing Rule and FINRA rules.
• Knowledge of advertising and communications regulations applicable to financial services.
• Ability to translate regulatory requirements into practical guidance and actions.

Responsibilities

• Conduct timely, risk-based compliance reviews of marketing materials for the firm and its clients.
• Evaluate materials for compliance with SEC Marketing Rule, FINRA, and other regulations.
• Provide clear feedback and compliant alternatives to preserve marketing messages.
• Escalate complex or high-risk issues to compliance leadership as needed.

Skills

Marketing compliance

Regulatory knowledge

Communication skills

Risk assessment

Training

Interpersonal skills

Job description

Our Story

Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower’s capital solutions, operational support services, size and scale empower its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients achieve their financial vision. Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).

Must be able to work West Coast hours

What You’ll Do

• Conduct timely, risk-based compliance reviews of marketing and communications materials used across the firm’s registered investment adviser and broker-dealer businesses, including:
  
  
  
  • Blog posts, articles, and market commentary
  
  
  • Websites and digital content
  
  
  • Social media content
  
  
  • Webinars and presentations
  
  
  • Public and media appearances
  
  
  • Video and multimedia content
  
  
  • Other retail and institutional communications, as applicable
  
  
  
  


• 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.

What You’ll Bring

• Seven+ years of relevant compliance experience with a registered investment adviser, broker-dealer, or dually registered financial services firm, with a 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, such as 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 an ability to educate and collaborate rather than simply dictate.


• Strong organizational skills and the ability to manage competing priorities while consistently 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.


• Experience supporting or improving marketing review procedures, supervisory controls, or compliance workflows.


• Experience with marketing review or books-and-records technology is preferred.


• FINRA Series 7 and Series 24 licenses are preferred

What We Offer

• 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


• In-office Monday through Thursday and work from home on Fridays


• Free brand-new gym in the Chicago office


• 401k matching plan


• HSA employer contributions


• Student loan assistance


• Pet insurance


• Base salary of $120,000-$135,000 plus discretionary bonus (exact base salary amount will be dependent on experience)

AN EQUAL OPPORTUNITY EMPLOYER:

Hightower is an equal opportunity employer and does not discriminate based upon race, color, religion, sex, sexual orientation, pregnancy, marital status, national origin, citizenship, veteran status, ancestry, age (over 40), physical or mental disability, medical condition (cancer-related), gender identity or expression, genetic information including sickle cell or hemoglobin C trait, or any other consideration made unlawful by applicable federal, state, or local law.

You are a U.S. citizen, U.S. permanent resident or possess other unrestricted U.S. work authorization and will not require sponsorship for U.S. work authorization now or anytime in the future.