Manager, Compliance Marketing Review

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

Benefits offered by this job

Medical, dental, and vision insurance

Paid parental leave

Mother’s lounge onsite

Flexible PTO

In-office Mon-Thu; WFH Fridays

Gym in Chicago office

401k matching

HSA contributions

Student loan assistance

Pet insurance

Job summary

Hightower seeks an experienced compliance professional to lead timely, risk-based reviews of marketing and communications for its registered investment adviser and broker-dealer operations. You will assess materials against SEC Marketing Rule and FINRA guidelines, identify risks, and provide practical guidance to teams.

You will partner with Marketing, Legal, and advisor groups to ensure compliant content, develop training, and help evolve policies, procedures, and reviews.

Qualifications

• 7+ years of compliance experience in a registered investment adviser, broker-dealer, or dually registered financial services firm.
• Experience with 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, testimonials, endorsements, awards, hypothetical performance, investments and digital or social media.
• Ability to translate compliance requirements into clear, practical guidance and workable solutions.
• Proactive, independent, and collaborative with stakeholders.
• Experience with marketing review procedures or compliance workflows preferred.

Responsibilities

• Conduct timely, risk-based compliance reviews of marketing and communications materials.
• Evaluate materials for compliance with SEC Marketing Rule, FINRA requirements, and firm policies.
• Identify and resolve regulatory and reputational risks in marketing content.
• Provide clear, practical feedback and compliant alternatives.
• Escalate novel or high-risk matters to leadership and experts.
• Partner with Marketing, Legal, Investment Solutions, advisor teams to support compliant communications.
• Maintain and enhance policies, procedures, and supervisory controls.
• Develop and deliver training/resources on marketing compliance.
• Monitor regulatory developments and update policies and practices.
• Support internal audits and regulatory inquiries.
• Improve compliance technology, templates, and workflows.
• Mentor less-experienced team members.

Skills

Regulatory compliance

Written communication

Interpersonal skills

Organizational skills

Independent working

Risk-based judgment

Education

FINRA Series 7 and Series 24 licenses preferred

Tools

Marketing review technology

Books-and-records technology

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).

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.