Marketing Compliance & Process Improvement Leader

Jobtailor; Connecticut; On-site; USD 130,000 - 170,000; Full time

Job summary

Jobtailor is seeking an experienced Marketing Content Compliance Lead to own the end-to-end review processes and drive improvements across regulatory analyses, workflows, and documentation. You will partner with technology and marketing teams to implement compliant solutions and serve as the primary owner of related review systems.

The role requires strong regulatory knowledge (SEC Marketing Rule, FINRA), 7+ years in financial services compliance, and excellent written communication.

Qualifications

• Bachelor’s degree in business, economics, finance, law, or a related field.
• 7 years of experience in financial services compliance, marketing compliance, or a heavily regulated advertising environment.
• Strong familiarity with the SEC Marketing Rule and FINRA Advertisement regulations.
• EMEA financial services regulatory knowledge (e.g., ESMA, MiFID) is a plus.
• Proficiency in Microsoft Office suite.
• Experience with compliance monitoring tools (e.g., Norm AI, Red Oak, Greenboard, RegEd, Saifr, Zeidler) and AI tools.
• Ability to document business processes, translate complex requirements, and map out workflows.
• Exceptional written communication skills to deliver thoughtful feedback and create documentation.
• FINRA Series 7 or 24 licenses or ability to obtain within six months of starting.
• Proactive, intellectually curious, analytical, and a collaborative team player.
• Extremely detail-oriented with ability to manage competing priorities.

Responsibilities

• Own end-to-end marketing content compliance review processes.
• Improve current compliance workflows to identify bottlenecks, inefficiencies, or gaps.
• Propose and own the roadmap for improvements, communicate compliance requirements and partner with technology and marketing teams to implement solutions.
• Act as the primary compliance owner for marketing material review systems and related process decisions.
• Manage issue resolution and escalation of issues.
• Spearhead analysis of marketing content errors and assess impact by reviewing web clicks, email campaigns, downloads and cashflows during error period.
• Write reports with findings and remediations for senior and executive management.
• Analyze regulatory requirement changes that impact marketing content and disclosures, provide content change requirements and oversee implementation.
• Conduct testing and summarize observations, control gaps, process weaknesses, or compliance issues identified during testing.
• Document remediation and ensure appropriate escalation.
• Own reporting requirements and use metrics to identify risks, trends, and opportunities for improvement.
• Ensure detailed, searchable records are maintained of reviewed materials, approvals, and changes for audit trails, ensuring adherence to regulatory retention requirements.

Skills

Regulatory analysis

Process improvement

Workflow mapping

Data analysis

Report writing

Education

Bachelor’s degree in business, economics, finance, law, or related field

Tools

Microsoft Office Suite

Norm AI

Red Oak

Greenboard

RegEd

Saifr

Zeidler

Job description

Jobtailor is seeking an experienced Marketing Content Compliance Lead to own the end-to-end review processes and drive improvements across regulatory analyses, workflows, and documentation. You will partner with technology and marketing teams to implement compliant solutions and serve as the primary owner of related review systems.

The role requires strong regulatory knowledge (SEC Marketing Rule, FINRA), 7+ years in financial services compliance, and excellent written communication.