District Partners
Senior Compliance Specialist – Marketing & Communications Review
District Partners, Charlotte, North Carolina, United States, 28245
Senior Compliance Specialist – Marketing & Communications Review
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District Partners provided pay range This range is provided by District Partners. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range $100,000.00/yr - $125,000.00/yr
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 Senior Compliance Specialist – Marketing Material Review to support its aggressive growth and national brand presence. This is not a back-office compliance role. This is your chance to become the firm’s go-to authority on the SEC Marketing Rule, shaping how the firm tells its story across digital platforms, advisor presentations, investor communications, media, rankings, awards, and everything in between.
If you’re energized by precision, regulatory nuance, and translating complex SEC standards into clear, compelling marketing content—this role was made for you.
What You’ll Do:
Own the marketing review process—from advertising and pitch decks to social media, website updates, articles, videos, awards, testimonials, investment proposals, and due diligence questionnaires.
Serve as the bridge between Compliance & Marketing/Product teams, offering thoughtful guidance—not roadblocks—on what’s permissible while helping craft compliant alternatives.
Provide clear, business-friendly interpretations of SEC and state regulations, Form ADV requirements, testimonials, endorsements, performance reporting, hypothetical performance, disclosures, and more.
Maintain and enhance the firm’s internal disclosure and compliance content library.
Administer and train team members on the advertising review system (e.g., Red Oak, Seismic or equivalent platforms).
Stay ahead of emerging regulations, regulatory risk trends, examination priorities, and industry best practices—and help shape internal policy accordingly.
Contribute to high-impact compliance initiatives, audits, and process improvements.
What You'll Have:
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.
High integrity, proactive mindset, and an ability to be both a regulatory guardian and a creative problem-solver.
Target Salary: $100,000 (commensurate with experience)
401(k) with company match
HSA and wellness incentives
Paid maternity & parental leave
Why This Role Matters: This position sits at the intersection of growth and governance—ensuring the firm's voice is compelling, compliant, and ahead of regulatory scrutiny. Your work directly protects the firm’s reputation, supports advisors, and empowers marketing efforts to scale nationally with confidence.
Location & Flexibility: This role is open to candidates based in any major U.S. metropolitan market, including but not limited to: New York, Boston, Chicago, Los Angeles, San Francisco, Dallas, Houston, Miami, Atlanta, Washington D.C., Charlotte, Denver, Philadelphia, Seattle, Phoenix, Austin, Nashville, Minneapolis, and Cleveland.
Senior Level Mid-Senior level
Employment Type Full-time
Job Function Marketing
Industries Venture Capital and Private Equity Principals
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District Partners provided pay range This range is provided by District Partners. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range $100,000.00/yr - $125,000.00/yr
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 Senior Compliance Specialist – Marketing Material Review to support its aggressive growth and national brand presence. This is not a back-office compliance role. This is your chance to become the firm’s go-to authority on the SEC Marketing Rule, shaping how the firm tells its story across digital platforms, advisor presentations, investor communications, media, rankings, awards, and everything in between.
If you’re energized by precision, regulatory nuance, and translating complex SEC standards into clear, compelling marketing content—this role was made for you.
What You’ll Do:
Own the marketing review process—from advertising and pitch decks to social media, website updates, articles, videos, awards, testimonials, investment proposals, and due diligence questionnaires.
Serve as the bridge between Compliance & Marketing/Product teams, offering thoughtful guidance—not roadblocks—on what’s permissible while helping craft compliant alternatives.
Provide clear, business-friendly interpretations of SEC and state regulations, Form ADV requirements, testimonials, endorsements, performance reporting, hypothetical performance, disclosures, and more.
Maintain and enhance the firm’s internal disclosure and compliance content library.
Administer and train team members on the advertising review system (e.g., Red Oak, Seismic or equivalent platforms).
Stay ahead of emerging regulations, regulatory risk trends, examination priorities, and industry best practices—and help shape internal policy accordingly.
Contribute to high-impact compliance initiatives, audits, and process improvements.
What You'll Have:
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.
High integrity, proactive mindset, and an ability to be both a regulatory guardian and a creative problem-solver.
Target Salary: $100,000 (commensurate with experience)
401(k) with company match
HSA and wellness incentives
Paid maternity & parental leave
Why This Role Matters: This position sits at the intersection of growth and governance—ensuring the firm's voice is compelling, compliant, and ahead of regulatory scrutiny. Your work directly protects the firm’s reputation, supports advisors, and empowers marketing efforts to scale nationally with confidence.
Location & Flexibility: This role is open to candidates based in any major U.S. metropolitan market, including but not limited to: New York, Boston, Chicago, Los Angeles, San Francisco, Dallas, Houston, Miami, Atlanta, Washington D.C., Charlotte, Denver, Philadelphia, Seattle, Phoenix, Austin, Nashville, Minneapolis, and Cleveland.
Senior Level Mid-Senior level
Employment Type Full-time
Job Function Marketing
Industries Venture Capital and Private Equity Principals
#J-18808-Ljbffr