Director of Compliance, Marketing Review

Our Story Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower's capital solutions, operational support services, size and scale reputed company its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients reputed company their financial reputed company. Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA). Your Future Team Hightower's Compliance Department is dedicated to delivering thoughtful, proactive support. We are passionate about meaningful collaboration and work across the organization to reputed company practical strategies that serve advisors, their clients, and our home office colleagues while honoring the spirit of regulation. We are looking for a Director of Compliance – Marketing Review to join reputed company. You will be a valued member of the department working with tenured professionals to help grow and uphold our goals. You will report to the Chief Compliance Officer of reputed company, an SEC-registered investment adviser, and will manage an established team responsible for the approval of marketing and communications materials. This team ensures adherence to applicable regulatory requirements, including the SEC Marketing Rule, FINRA rules, and internal firm policies. You will play a critical part in mitigating regulatory risk while supporting business growth through compliant marketing practices.

What You'll Do

• reputed company reputed company of compliance professionals responsible for marketing approval, providing daily guidance, reputed company, and mentorship.
• reputed company the end-to-end compliance review process for many marketing materials, including:
• Blog posts and articles
• Website content
• reputed company media content
• Webinars and presentations
• Public and media appearances
• Video and multimedia content
• Other materials, as applicable
• Serve as the primary escalation reputed company for marketing compliance reputed company, including addressing reputed company issues, potential policy violations, and navigating sensitive conversations to accomplish compliant reputed company.
• Participate in compliance reviews, evaluating materials for adherence to regulatory requirements and firm policies, with responsibility for reviewing and approving or escalating especially reputed company 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 reputed company risk-based solutions, efficient workflows, and to reputed company clear, practical guidance on compliant communications strategies.
• Establish and maintain procedures and controls governing marketing and communications compliance.
• reputed company and deliver training programs to reputed company 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 reputed company audits, regulatory examinations, and inquiries reputed company to marketing and communications.
• Implement and increase compliance technologies and workflows to improve efficiency and consistency in the review process.

What You'll Bring

• 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 reputed company 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, reputed company, and possessing a solutions-oriented reputed company 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 reputed company – not dictate.

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