[Remote] Director of Compliance, Marketing Review

Note: The job is a remote job and is open to candidates in USA. Hightower Advisors is a wealth management firm founded in 2008, providing investment and financial planning services. They are seeking a Director of Compliance – Marketing Review to lead a team ensuring adherence to regulatory requirements in marketing materials while supporting business growth.

Responsibilities

• Lead a team of compliance professionals responsible for marketing approval, providing daily guidance, oversight, and mentorship
• Oversee the end-to-end compliance review process for many marketing materials, including: Blog posts and articles, Website content, Social media content, Webinars and presentations, Public and media appearances, Video and multimedia content, Other materials, as applicable
• Serve as the primary escalation point for marketing compliance matters, including addressing complex issues, potential policy violations, and navigating sensitive conversations to accomplish compliant outcomes
• Participate in compliance reviews, evaluating materials for adherence to regulatory requirements and firm policies, with responsibility for reviewing and approving or escalating especially complex or high-risk content
• Interpret and apply regulatory requirements, including the SEC Marketing Rule, FINRA advertising rules, and other applicable regulations
• Collaborate with home office partners and advisor teams to develop risk-based solutions, efficient workflows, and to provide clear, practical guidance on compliant communications strategies
• Establish and maintain procedures and controls governing marketing and communications compliance
• Develop and deliver training programs to educate employees on marketing compliance requirements and best practices
• Monitor regulatory developments and industry trends, recommending updates to internal policies and updating procedures and training materials accordingly
• Support internal and external audits, regulatory examinations, and inquiries related to marketing and communications
• Implement and increase compliance technologies and workflows to improve efficiency and consistency in the review process

Skills

• 7+ years of registered investment adviser compliance experience or combination of experience with a registered investment advisor and broker dealer
• Experience reviewing marketing materials for compliance with the SEC Marketing Rule (Rule 206(4)-1)
• Experience developing team members, with a willingness to remain hands-on in daily work
• Knowledge of SEC and FINRA rules and regulations as they relate to Hightower's business model and management
• Ability to analyze complex regulatory requirements in the context of business practices and translate them into practical, risk-based solutions
• Experience enhancing supervisory control frameworks and procedures
• Effective at prioritization of workload with competing priorities while producing high quality work
• Strong interpersonal and relationship-building skills, with the ability to collaborate effectively across teams and influence stakeholders
• Proactive, responsive, and possessing a solutions-oriented mindset while taking accountability for and ownership of work from start to finish
• Ability to take initiative and operate independently with sound judgment, while also contributing as a collaborative team leader
• Exceptional critical thinking and communication skills, ability to educate – not dictate

Benefits

• Coverage on the first day of employment for medical, dental, and vision insurance
• Paid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregiver)
• Flexible PTO plan
• 401k matching plan
• HSA employer contributions
• Student loan assistance
• Pet insurance

Company Overview