Manager, Compliance Marketing Review

Hightower Advisors is a wealth management firm providing investment, financial, retirement planning, and related advisory services. The Manager, Compliance Marketing Review will conduct risk-based compliance reviews of marketing and communications materials, assess regulatory and reputational risks, and provide practical guidance to business stakeholders. The role also supports policy development, training, regulatory monitoring, audits, examinations, and improvements to compliance technology and review workflows.

Responsibilities:

• Conduct timely, risk-based compliance reviews of marketing and communications materials used across the firm’s registered investment adviser and broker-dealer businesses, including:

• Blog posts, articles, and market commentary
• Websites and digital content
• Social media content
• Webinars and presentations
• Public and media appearances
• Video and multimedia content
• Other retail and institutional communications, as applicable

• Evaluate materials for compliance with the SEC Marketing Rule, FINRA communications requirements, applicable state and federal regulations, and firm policies
• Identify and resolve regulatory and reputational risks involving performance, testimonials and endorsements, awards and rankings, hypothetical performance, investment claims, disclosures, and other complex marketing topics
• Provide clear, practical feedback to business partners and recommend compliant alternatives that preserve the intended marketing message
• Escalate novel, complex, or higher-risk matters to compliance leadership and other subject-matter experts, as appropriate
• Partner with Marketing, Legal, Investment Solutions, advisor teams, and other stakeholders to support compliant communications and efficient review processes
• Apply consistent review standards while considering the audience, distribution channel, registration status, and applicable RIA or broker-dealer requirements
• Help maintain and enhance policies, procedures, review standards, disclosure guidance, and supervisory controls governing marketing and communications
• Develop and deliver training and educational resources addressing marketing compliance requirements and industry best practices
• Monitor relevant regulatory developments and industry trends and assist with corresponding updates to policies, procedures, training, and review practices
• Support internal audits, regulatory examinations, and inquiries involving marketing and communications
• Help enhance compliance technology, templates, and workflows to improve the efficiency, consistency, and documentation of the review process
• Serve as a knowledgeable resource to colleagues and contribute to the development of less-experienced team members

Requirements:

• 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
• Demonstrated experience reviewing materials under the SEC Marketing Rule (Rule 206(4)-1) and FINRA Rule 2210
• Working knowledge of regulatory requirements applicable to investment adviser advertising and broker-dealer communications with the public
• Experience reviewing complex marketing topics, such as performance presentations, testimonials and endorsements, awards and rankings, hypothetical performance, investment products and strategies, and digital or social media communications
• Ability to analyze regulatory requirements and apply them to business practices using sound, risk-based judgment
• Ability to translate compliance requirements into clear, practical guidance and workable solutions
• Strong critical-thinking, written communication, and interpersonal skills, with an ability to educate and collaborate rather than simply dictate
• Strong organizational skills and the ability to manage competing priorities while consistently producing accurate, high-quality work
• A proactive, responsive, and solutions-oriented approach, with accountability for assignments from initial review through resolution
• Ability to work independently, recognize when escalation is appropriate, and collaborate effectively with colleagues and business stakeholders
• Experience supporting or improving marketing review procedures, supervisory controls, or compliance workflows
• You are a U.S. citizen, U.S. permanent resident or possess other unrestricted U.S. work authorization and will not require sponsorship for U.S. work authorization now or anytime in the future
• Experience with marketing review or books-and-records technology is preferred
• FINRA Series 7 and Series 24 licenses are preferred