Senior Marketing Compliance Manager

Hightower Advisors; Chicago (IL); Sur place; USD 120 000 - 135 000; Plein temps

Avantages offerts par ce poste

Medical, dental, vision insurance

Parental leave

Flexible PTO

Work from home Fridays

Gym in Chicago office

401k matching

HSA contributions

Student loan assistance

Pet insurance

Résumé du poste

Hightower Advisors seeks an experienced Compliance professional to conduct risk-based reviews of all marketing and communications. You will ensure adherence to SEC Marketing Rule and FINRA 2210, guide business partners with practical feedback, and escalate complex issues to leadership.

This role requires a proactive, independent contributor with strong written and interpersonal skills. You will collaborate with Marketing, Legal, and Investment Solutions teams, maintaining robust controls and

Qualifications

• 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.
• Experience reviewing materials under SEC Marketing Rule and FINRA Rule 2210.
• Working knowledge of regulatory requirements applicable to investment adviser advertising and broker-dealer communications with the public.

Responsabilités

• Conduct timely, risk-based compliance reviews of marketing and communications materials for the firm’s RIA and broker-dealer businesses.
• Evaluate materials for compliance with SEC Marketing Rule, FINRA requirements, and applicable regulations.
• Identify and resolve regulatory and reputational risks in performance, testimonials, awards, hypothetical performance, and other topics.
• Provide clear feedback and recommend compliant alternatives to preserve marketing messages.
• Escalate novel or high-risk matters to compliance leadership and subject-matter experts.
• Collaborate with Marketing, Legal, Investment Solutions, advisor teams and other stakeholders.
• Apply consistent review standards considering audience, channel, and registration status.
• Maintain and enhance policies, procedures, and supervisory controls for marketing reviews.
• Develop training resources on marketing compliance and industry best practices.
• Monitor regulatory developments and update policies and training accordingly.
• Support internal audits, regulatory examinations, and inquiries related to marketing.

Connaissances

Compliance experience

SEC Marketing Rule

FINRA Rule 2210

Regulatory knowledge

Written communication

Interpersonal skills

Organization skills

Independent work

Escalation skills

FINRA licenses (Series 7/24)

Outils

Books-and-records tech

Description du poste

Hightower Advisors seeks an experienced Compliance professional to conduct risk-based reviews of all marketing and communications. You will ensure adherence to SEC Marketing Rule and FINRA 2210, guide business partners with practical feedback, and escalate complex issues to leadership.

This role requires a proactive, independent contributor with strong written and interpersonal skills. You will collaborate with Marketing, Legal, and Investment Solutions teams, maintaining robust controls and