[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.ResponsibilitiesLead a team of compliance professionals responsible for marketing approval, providing daily guidance, oversight, and mentorshipOversee 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 applicableServe as the primary escalation point for marketing compliance matters, including addressing complex issues, potential policy violations, and navigating sensitive conversations to accomplish compliant outcomesParticipate 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 contentInterpret and apply regulatory requirements, including the SEC Marketing Rule, FINRA advertising rules, and other applicable regulationsCollaborate with home office partners and advisor teams to develop risk-based solutions, efficient workflows, and to provide clear, practical guidance on compliant communications strategiesEstablish and maintain procedures and controls governing marketing and communications complianceDevelop and deliver training programs to educate employees on marketing compliance requirements and best practicesMonitor regulatory developments and industry trends, recommending updates to internal policies and updating procedures and training materials accordinglySupport internal and external audits, regulatory examinations, and inquiries related to marketing and communicationsImplement and increase compliance technologies and workflows to improve efficiency and consistency in the review processSkills7+ years of registered investment adviser compliance experience or combination of experience with a registered investment advisor and broker dealerExperience 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 workKnowledge of SEC and FINRA rules and regulations as they relate to Hightower's business model and managementAbility to analyze complex regulatory requirements in the context of business practices and translate them into practical, risk-based solutionsExperience enhancing supervisory control frameworks and proceduresEffective at prioritization of workload with competing priorities while producing high quality workStrong interpersonal and relationship-building skills, with the ability to collaborate effectively across teams and influence stakeholdersProactive, responsive, and possessing a solutions-oriented mindset while taking accountability for and ownership of work from start to finishAbility to take initiative and operate independently with sound judgment, while also contributing as a collaborative team leaderExceptional critical thinking and communication skills, ability to educate – not dictateBenefitsCoverage on the first day of employment for medical, dental, and vision insurancePaid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregiver)Flexible PTO plan401k matching planHSA employer contributionsStudent loan assistancePet insuranceCompany OverviewHightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401K consulting and cash management services to corporations. It was founded in 2008, and is headquartered in Westport, Connecticut, USA, with a workforce of 201-500 employees. Its website is https://thrushgroup.hightoweradvisors.com/.