Senior Associate Director, Distribution Compliance

About the role

We are seeking a highly experienced, solutions-oriented compliance professional to join our U.S. Distribution Compliance team as a Senior Associate Director. This role sits at the intersection of marketing compliance, advertising review, and governance.

Responsibilities

• Review advertising and marketing materials across channels (print, digital, social, web, presentations, RFPs) in compliance with SEC, FINRA, CFTC requirements, and GIPS standards
• Review and advise on marketing communications related to product launches and product changes, ensuring disclosures, performance information, and positioning align with regulatory expectations
• Deliver timely, practical, and well-reasoned guidance that enables business partners to market effectively within regulatory guardrails
• Draft clear, accurate, and defensible disclosures, maintaining high standards of transparency and consistency
• Support development and ongoing refinement of “Rules of the Road,” contributing to consistent and scalable review standards across Marketing, Distribution, Product, and Investments
• Contribute to workflow management and process optimization, including prioritization, quality control, and continuous improvement of review processes
• Lead and support process improvement initiatives, including workflow enhancements, documentation standards, and adoption of enabling technologies (e.g., Red Oak)
• Help implement technology-driven solutions, including exploration of AI-enabled review capabilities, in line with broader strategic priorities
• Build strong, collaborative partnerships with Marketing, Distribution, Product, Legal, and Compliance stakeholders—acting as a trusted advisor who anticipates needs and communicates with clarity and confidence
• Stay ahead of evolving regulations, interpret their impact, and translate requirements into actionable guidance
• Influence and support firm-wide initiatives, working across business and control functions to embed compliance considerations early in the process
• Participate in and lead ad-hoc and recurring projects across the Compliance function and broader organization
• Contribute to a culture of continuous improvement, operational excellence, and proactive risk management
• Carry out other duties as assigned

Requirements

• 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
• 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

Qualifications

• Experience reviewing marketing materials across retail, intermediary, and institutional audiences
• 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

Skills

• Bachelor's degree or equivalent
• Supervisory responsibilities

Benefits

• Hybrid working
• Generous Holiday policies
• Excellent Health and Wellbeing benefits including corporate membership to Wellhub
• Paid volunteer time
• Maternity/paternity leave benefits and family services
• Unique employee events and programs including a 14er challenge
• Complimentary beverages, snacks and all employee Happy Hours
• Annual Bonus Opportunity
• Compensation information: Base salary range is $130,000 - $150,000