Director, Marketing Compliance
$110,000–$150,000 year
On-site · San Antonio, Texas, United States or Boston, Massachusetts, United States
Job Summary
The Director of Marketing Compliance will lead the Marketing Compliance team, supporting registered investment adviser (RIA) and broker-dealer platforms. Responsibilities include reviewing and approving marketing materials across retail, institutional, and intermediary channels, providing expert regulatory compliance guidance, and developing the compliance program within a dynamic global platform. The position requires deep regulatory expertise, strong leadership capabilities, and emotional intelligence to manage a multi-generational team. Key qualifications include over 7 years of compliance experience in asset management, active FINRA licenses, and proficiency in Microsoft Office tools.
Required Qualifications
- Bachelor's degree; JD or advanced degree a plus.
- 7+ years of compliance experience within asset management, ETF issuers, investment adviser, or broker-dealer platforms.
- Expert-level understanding of SEC and investment company advertising compliance, with hands-on marketing review experience.
- Active FINRA Series 7 and Series 24 licenses.
- Excellent writing skills with strong attention to grammar and punctuation.
- Proficiency in Microsoft Office tools (Excel, PowerPoint, Word).
Desired Qualifications
- Advanced Red Oak AdMaster administrative capabilities including workflow configuration, rule libraries, reporting, entitlements, and system governance.
- Demonstrated knowledge of the investment management industry ecosystem, from legal, paralegal or administrative experience.
- Familiarity with ETF capital markets mechanics (creation/redemption process, AP relationships, and market making).
- Direct experience managing FINRA and SEC examinations.
Additional Requirements
- Equal employment opportunity without regard to actual or perceived race, color, creed, religion, national origin, ancestry, citizenship status, age, sex or gender (including pregnancy, childbirth, pregnancy-related conditions, and lactation), gender identity or expression (including transgender status), sexual orientation, marital status, military service and veteran status, physical or mental disability, genetic information, height, weight, hair texture or a hairstyle historically associated with race to include braids, locks, or twists; or any other characteristic protected by applicable federal, state, or local laws and ordinances.
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