Marketing Compliance Lead — SEC Rule Expert

Optima Partners; New York (NY); Hybrid; USD 180,000 - 240,000; Full time

Job summary

Optima Partners in New York, NY is seeking a Head of Marketing Compliance to lead the firm's marketing review function. You will independently review client materials, provide written compliance comments, and negotiate compliant language with client teams under SEC rules.

The role requires deep knowledge of SEC marketing and advertising requirements, including Rule 206(4)-1, and the ability to drive standards across multiple client engagements with tight timelines.

Qualifications

• 10+ years of experience in investment adviser marketing/advertising compliance.
• Experience at a registered investment adviser, private equity firm, investment bank, hedge fund, law firm, or compliance consultancy.
• Working knowledge of the Investment Advisers Act, Investment Company Act, FINRA advertising rules, and anti-fraud provisions.
• Ability to review dense marketing materials quickly and provide precise, substantiated written comments under deadlines.
• Strong client-facing communication skills with the confidence to handle pushback from senior stakeholders.

Responsibilities

• Serve as the sole reviewing authority for client marketing and investor communications materials submitted for compliance review.
• Review materials for compliance with SEC marketing rules and applicable securities regulations.
• Assess advertising materials against substantiation, disclosures, and general prohibition standards.
• Draft clear, legally-grounded written comments with rule-based justifications for required changes.

Skills

SEC Marketing Rule

Regulatory compliance

Client communication

Financial services

Policy drafting

Education

J.D. or equivalent

Job description

Optima Partners in New York, NY is seeking a Head of Marketing Compliance to lead the firm's marketing review function. You will independently review client materials, provide written compliance comments, and negotiate compliant language with client teams under SEC rules.

The role requires deep knowledge of SEC marketing and advertising requirements, including Rule 206(4)-1, and the ability to drive standards across multiple client engagements with tight timelines.