Marketing Compliance Manager
$175,000–$175,000 year
Hybrid · Century City, California, United States
Job Summary
Senior Marketing Compliance Specialist to own SEC Marketing Rule reviews for advisor communications across digital platforms, including advertising, pitches, social media, websites, articles, videos, awards, endorsements, and disclosures. Serve as the bridge between Compliance and Marketing/Product, providing guidance on permissible content while helping craft compliant alternatives. Maintain and enhance internal disclosure content libraries, train teams on advertising review systems (e.g., Red Oak, Seismic), stay ahead of regulatory trends, and contribute to audits and process improvements. Requires 5+ years in RIA compliance focused on advertising/marketing review, a Bachelor’s degree, deep knowledge of the SEC Marketing Rule and related disclosures, and strong writing/organizational skills. Hybrid role based in Century City, California.
Required Qualifications
- 5+ years of experience in compliance for a Registered Investment Adviser (RIA), with a core focus on advertising/marketing review and communications
- Bachelor’s degree in business, finance, legal studies, or equivalent industry experience
- Deep working knowledge of the SEC Marketing Rule, SEC guidance, performance advertising standards, disclosures, and advisor communications
- Familiarity with advertising review systems (Red Oak, Seismic) a strong plus
- Exceptional written communication—able to give feedback that’s clear, concise, constructive, and solution-focused
- Able to manage multiple deadlines, stakeholders, and evolving priorities with professional urgency
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