Marketing Compliance Lead — Growth & Risk Partner

District Partners; Los Angeles (CA); On-site; USD 158,000 - 193,000; Full time

Benefits offered by this job

401(k) with company match

HSA and wellness incentives

Paid maternity & parental leave

Tuition reimbursement and professional

Job summary

District Partners has exclusive retention by a nationally recognized wealth management firm seeking a Compliance Manager – Marketing Material Review to support growth and the evolving national brand. This is not a traditional back‑office role; you will serve as a trusted advisor to business, marketing, and leadership teams, translating regulations into practical, compliant communications.

This role owns the review of advertising, pitch books, websites, social media, articles, and client‑facing

Qualifications

• 5+ years of compliance experience in a highly regulated financial services environment.
• Experience reviewing marketing materials, advertising, disclosures, or investor communications.
• Bachelor's degree in Business, Finance, Accounting, Legal Studies, or related field, or equivalent professional experience.
• Strong understanding of securities regulations governing communications and disclosures.
• Experience with SEC Marketing Rule is highly desirable; adjacent regulatory experience is acceptable.
• Experience with compliance workflow platforms such as Red Oak or Seismic is a plus.

Responsibilities

• Review a broad range of communications including advertising, pitch books, presentations, websites, social media, articles, videos, awards, testimonials, proposals, due diligence questionnaires, and other client-facing materials.
• Partner with Marketing, Legal, Product, and business stakeholders to provide practical, risk-based compliance guidance enabling business growth.
• Interpret and apply SEC, FINRA, state, and other regulatory requirements related to marketing, disclosures, performance reporting, testimonials, endorsements, and investor communications.
• Help maintain and enhance the firm's disclosure library, compliance templates, and marketing review processes.
• Assist administration of marketing review platforms such as Red Oak, Seismic, or similar compliance workflow tools.
• Monitor regulatory developments and translate changes into practical guidance for the business.
• Participate in compliance initiatives, audits, policy enhancements, training, and continuous process improvements.

Skills

Regulatory compliance

Communication skills

Stakeholder collaboration

Attention to detail

Problem solving

Education

Bachelor's degree in Business, Finance, Accounting, Legal Studies, or related field

Tools

Red Oak

Seismic

Job description

District Partners has exclusive retention by a nationally recognized wealth management firm seeking a Compliance Manager – Marketing Material Review to support growth and the evolving national brand. This is not a traditional back‑office role; you will serve as a trusted advisor to business, marketing, and leadership teams, translating regulations into practical, compliant communications.

This role owns the review of advertising, pitch books, websites, social media, articles, and client‑facing