Senior Associate Director, Distribution Compliance 1
$130,000–$150,000 year
HybridChicago, Illinois, United States
Job Summary
Review advertising and marketing materials across print, digital, social, and web channels in compliance with SEC, FINRA, CFTC requirements, and GIPS standards. Draft clear, accurate disclosures and advise on product launch communications to ensure regulatory alignment. Deliver timely, risk-aligned guidance while supporting workflow management, process optimization, and the development of scalable "Rules of the Road." Lead process improvement initiatives, including adoption of enabling technologies and AI-enabled review capabilities, and support FINRA filing requirements. Build collaborative partnerships with Marketing, Distribution, Product, Legal, and Compliance stakeholders to embed compliance considerations early in business processes. Stay ahead of evolving regulations and interpret their impact into actionable guidance for the firm.
Required Qualifications
- FINRA SIE, Series 7, and 24 registrations required
- 10+ years of experience in financial services, with significant focus on marketing/advertising compliance
- Deep knowledge of SEC, FINRA, CFTC regulations, including considerations related to CPO oversight
- Experience reviewing marketing materials across retail, intermediary, and institutional audiences
- Strong ability to manage multiple priorities and deliver high-quality work in a fast-paced environment
- Excellent written and verbal communication skills, with strong attention to detail
- Experience with workflow tools and compliance systems
- You should be willing to adhere to the provisions of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political contributions and political activities
- Applicants' past political contributions or activity may impact applicants' eligibility for this position
- You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity requirements and JHI policies applicable for your role
Desired Qualifications
- Bachelor's degree or equivalent
- Experience reviewing institutional marketing, private funds, SMAs, or model portfolios
- Familiarity with global or multi-jurisdictional compliance frameworks
- Experience with AI-enabled compliance tools or automation initiatives
- Advanced knowledge of workflow governance or system configuration
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