Manager, 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 empower its vibrant community of independent-minded wealth advisors to grow their businesses and help their clients achieve their financial vision.

Based in Chicago with advisors across the U.S., we operate as a registered investment advisor (RIA).

• 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.

• 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…