7+ years in compliance at a registered investment adviser or broker-dealer with focus on marketing reviews
Expertise in SEC Marketing Rule and FINRA Rule 2210 compliance materials
Strong grasp of advertising regulations relevant to investment advisers and broker-dealers
Experience with complex marketing topics including performance presentations and digital communications
Ability to provide practical compliance guidance and solutions
Excellent communication and critical-thinking skills for collaboration
Proficiency in managing competing priorities and ensuring high-quality outputs
Responsibilities
Conduct compliance reviews on marketing materials across various channels
Evaluate materials for adherence to SEC and FINRA regulations
Identify regulatory risks and offer compliant marketing alternatives
Collaborate with multiple departments to ensure efficient review processes
Update compliance policies and training materials based on regulatory changes
Assist with internal audits and regulatory inquiries
Enhance compliance technology for improved workflows
Benefits
Immediate coverage for medical, dental, and vision insurance
Generous paid parental leave policy
Onsite mother's lounge available
Flexible PTO plan offered
Hybrid work schedule with in-office and remote options
State-of-the-art gym in the Chicago office
401k matching contributions
Employer-funded HSA contributions
Student loan assistance program
Pet insurance options available
Full Job Description
What You'll Do
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.
What You'll Bring
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.
Experience with marketing review or books-and-records technology is preferred.
FINRA Series 7 and Series 24 licenses are preferred
What We Offer
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)
Mother's lounge onsite
Flexible PTO plan
In-office Monday through Thursday and work from home on Fridays
Free brand-new gym in the Chicago office
401k matching plan
HSA employer contributions
Student loan assistance
Pet insurance
Base salary of $120,000-$135,000 plus discretionary bonus (exact base salary amount will be dependent on experience)
