Director, Marketing Compliance

We are seeking an experienced professional to lead our Marketing Compliance team, supporting both our registered investment adviser (RIA) and broker-dealer platforms. You will actively perform and oversee the review and approval of advertising and marketing for retail, institutional, and intermediary distribution channels. This role demands both strategic thinking and hands-on execution. During peak periods—particularly around quarter-end reporting cycles—your ability to prioritize, exercise sound judgment, and model commitment will be critical. We are looking for a leader who embraces change, builds scalable processes, and strengthens the team to support sustainable growth.