Manager of Communications Compliance

• Lead a team that advises, reviews, approves and audits parent company communications to ensure alignment and adherence of legal, compliance, and internal standards
• Provide quality assurance checks on entity compliance reviews, ensuring consistency and that legal and compliance guidance has been properly engaged and applied
• Collaborate with Communications and Marketing partners to provide proactive compliance input on campaigns, PR strategies, and new initiatives
• Guide internal partners and teammates on applying compliance standards to projects and deliverables, ensuring clarity and adherence from the outset
• Review, analyze, and advise on parent company and enterprise-level communications, including third-party advertising, for compliance with regulatory and firm guidelines
• Serve as a principal-level approver for communications, confirming adherence to all applicable regulatory laws and internal policies
• Provide enterprise-wide guidance on compliance expectations across multi-entity projects and verticals
• Create clear, practical guidelines and frameworks to help teams meet evolving regulatory and firm requirements
• Drive improvements to compliance processes, systems, and tools that enhance quality, scalability, and operational impact
• Strengthen internal controls and governance practices across key business areas through continuous review and refinement

• Bachelor’s Degree required
• JD or MBA is a plus
• 7+ years working in communications compliance within financial services, preferably a Broker-Dealer or Registered Investment Advisor
• 3+ years in a people management role
• Strong understanding of SEC, FINRA, CFTC, FTC, and FCA communication rules and frameworks
• Excellent writing, analytical, and interpersonal skills
• highly detail-oriented
• Proven leadership experience with a collaborative, feedback-driven approach
• Skilled at managing complex projects and cross-functional stakeholder groups in fast-paced environments
• Experience with compliance review tools (e.g., Red Oak), data visualization (e.g., Tableau), and AI productivity tools (e.g., ChatGPT, Gemini)

FINRA Series 7 or 24 license, or willingness to obtain within first year

• Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
• 100% paid health insurance for employees with 90% coverage for dependents
• Lifestyle wallet — a highly flexible benefits spending account for wellness, learning, and more
• Employer-paid life & disability insurance, fertility benefits, and mental health benefits
• Time off to recharge including company holidays, paid time off, sick time, parental leave, and more
• Exceptional office experience with catered meals, events, and comfortable workspaces