Senior Marketing Compliance Review Lead

HighTower Advisors; Chicago (IL); On-site; USD 120,000 - 135,000; Full time

Benefits offered by this job

Medical, dental, and vision insurance

Parental leave

401k matching

HSA employer contributions

Flexible PTO

Work from home on Fridays

Job summary

Hightower is seeking a senior Compliance Reviewer focused on marketing and communications reviews for its national wealth-management business. This role supports the firm’s registered investment adviser and broker-dealer activities, ensuring adherence to SEC and FINRA requirements.

You will partner with Marketing, Legal, and advisor teams to provide practical guidance, improve processes, and mitigate reputational risk while working from the Chicago-based office.

Qualifications

• Seven+ years of relevant compliance experience with a registered investment adviser, broker-dealer, or dually registered financial services firm.
• Experience reviewing materials under the SEC Marketing Rule (Rule 206(4)-1) and FINRA Rule 2210.
• Ability to translate compliance requirements into clear, practical guidance and workable solutions.

Responsibilities

• Conduct timely, risk-based compliance reviews of marketing and communications materials.
• Evaluate materials for compliance with SEC, FINRA rules, and firm policies.
• Provide feedback and recommend compliant alternatives to preserve intended messaging.
• Escalate complex matters to compliance leadership and collaborate with stakeholders.

Skills

Marketing compliance

Regulatory analysis

Written communication

Training and education

Cross-functional collaboration

Education

FINRA Series 7 license

FINRA Series 24 license

Tools

Marketing review software

Job description

Hightower is seeking a senior Compliance Reviewer focused on marketing and communications reviews for its national wealth-management business. This role supports the firm’s registered investment adviser and broker-dealer activities, ensuring adherence to SEC and FINRA requirements.

You will partner with Marketing, Legal, and advisor teams to provide practical guidance, improve processes, and mitigate reputational risk while working from the Chicago-based office.