Manager, Compliance Marketing Review

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).

Responsibilities

• 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