Marketing Compliance Manager — SEC/FINRA Expert

HighTower Advisors, LLC; Chicago, Northern (IL, KY); Hybrid; USD 120,000 - 135,000; Full time

Benefits offered by this job

Medical, dental, vision

Parental leave

Mother’s lounge

Flexible PTO

WFH Fridays

Gym in office

401k match

HSA contributions

Student loan assistance

Pet insurance

Discretionary bonus

Job summary

HighTower Advisors, LLC is seeking an experienced Compliance professional to conduct timely reviews of marketing and communications materials across the firm’s registered investment adviser and broker-dealer businesses. You will evaluate materials for compliance with the SEC Marketing Rule and FINRA rules, identify regulatory and reputational risks, and provide practical guidance to business partners.

The role requires strong written communication, collaboration with Marketing, Legal, and

Qualifications

• Seven+ years of compliance experience with a registered investment adviser, broker-dealer, or dually registered financial services firm.
• Knowledge of SEC Marketing Rule (Rule 206(4)-1) and FINRA Rule 2210.
• Regulatory requirements for investment adviser advertising and broker-dealer communications.
• Experience reviewing complex marketing topics (performance, testimonials, endorsements, hypothetical performance).
• Ability to translate requirements into clear guidance and workable solutions.

Responsibilities

• Conduct timely, risk-based compliance reviews of marketing and communications materials across the firm’s businesses.
• Evaluate materials for compliance with SEC, FINRA, and applicable regulations and firm policies.
• Identify and resolve regulatory and reputational risks in marketing content.
• Provide clear, practical feedback and recommend compliant alternatives.
• Escalate novel or high-risk matters to leadership when needed.
• Collaborate with Marketing, Legal, Investment Solutions, and advisor teams.

Skills

Seven+ years compliance

SEC Marketing Rule knowledge

FINRA rules knowledge

Regulatory interpretation

Written communication

Collaboration

Project management

Education

FINRA Series 7 & 24 preferred

Job description

HighTower Advisors, LLC is seeking an experienced Compliance professional to conduct timely reviews of marketing and communications materials across the firm’s registered investment adviser and broker-dealer businesses. You will evaluate materials for compliance with the SEC Marketing Rule and FINRA rules, identify regulatory and reputational risks, and provide practical guidance to business partners.

The role requires strong written communication, collaboration with Marketing, Legal, and