Compliance Manager
$175kDistrict Partners
Compliance Manager – Marketing Material Review
District Partners has been exclusively retained by a nationally recognized, rapidly scaling wealth management firm (nearly $70B in AUM) that is redefining the future of advisory services. Known for blending high-touch client experience with institutional-grade investment capabilities, the firm is expanding its Compliance team and seeking a Compliance Manager – Marketing Material Review to support its continued growth and evolving national brand.
This is not a traditional back-office compliance role. You'll serve as a trusted advisor to business, marketing, and leadership teams, helping them communicate with confidence while navigating an increasingly complex regulatory environment. Whether your experience comes from a Registered Investment Adviser, broker-dealer, wirehouse, investment bank, regulatory agency, or another highly regulated financial institution, we're looking for someone who enjoys interpreting regulations, partnering with the business, and finding practical, compliant solutions.
If you're energized by regulatory nuance, collaborative problem solving, and helping organizations communicate responsibly, this is an opportunity to make a visible impact.
Why This Role Matters:
This position sits at the intersection of business growth and regulatory excellence. You'll help ensure the firm's communications are accurate, transparent, and compliant while partnering with stakeholders across the organization to support innovation and continued expansion. Your expertise will directly influence how the firm engages clients, advisors, and the marketplace.
What You'll Be Owning:
You will serve as a key compliance resource overseeing advisor and firm-level communications, ensuring marketing and client-facing materials align with applicable regulatory requirements while supporting business growth.
- Review a broad range of communications including advertising, pitch books, presentations, websites, social media, articles, videos, awards, testimonials, proposals, due diligence questionnaires, and other client-facing materials
- Partner closely with Marketing, Legal, Product, and business stakeholders to provide practical, risk-based compliance guidance that enables the business rather than slows it down
- Interpret and apply SEC, FINRA, state, and other applicable regulatory requirements related to marketing, communications, disclosures, performance reporting, testimonials, endorsements, and investor communications
- Help maintain and enhance the firm's disclosure library, compliance templates, and marketing review processes
- Support administration of marketing review platforms such as Red Oak, Seismic, or similar compliance workflow tools
- Monitor regulatory developments, examination priorities, and industry trends while helping translate changes into practical business guidance
- Participate in compliance initiatives, audits, policy enhancements, training, and continuous process improvements
What You'll Bring to the Table:
- 5+ years of compliance, regulatory, legal, or risk experience within a highly regulated financial services environment
- Experience may come from a Registered Investment Adviser (RIA), broker-dealer, wirehouse, investment bank, commercial bank, asset manager, insurance organization, regulatory agency (SEC, FINRA, OCC, state regulators), or similar financial institution
- Experience reviewing marketing materials, advertising, communications, disclosures, client-facing content, or providing regulatory guidance to business partners
- Strong understanding of securities regulations governing communications, advertising, disclosures, or investor protection. Experience with the SEC Marketing Rule is highly desirable, but candidates with adjacent regulatory expertise are encouraged to apply
- Bachelor's degree in Business, Finance, Accounting, Legal Studies, or a related field, or equivalent professional experience
- Experience with compliance workflow systems such as Red Oak, Seismic, or comparable platforms is a plus
- Excellent written and verbal communication skills with the ability to explain complex regulatory concepts clearly and collaboratively
- Strong organizational skills with the ability to manage competing priorities in a fast-paced environment
- A proactive, solutions-oriented mindset with sound judgment and strong professional integrity
Compensation & Benefits:
Target Salary: Up to $175,000 (commensurate with experience)
Comprehensive benefits package including:
- Medical, Dental & Vision Insurance
- 401(k) with company match
- HSA and wellness incentives
- Paid maternity & parental leave
- Tuition reimbursement and professional development support
Location: Onsite role based in Century City, California
Vacancy posted 1 day ago
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