ABOUT THE ROLE We are partnering with a leading fintech wealth management and digital investment platform headquartered in New York City seeking a Compliance Manager to join its broker-dealer and registered investment adviser compliance function. This hybrid role (4 days in-office, Hudson Yards, NYC) offers the opportunity to join a fast-growing, technology-driven organization focused on automated investing, retirement solutions, and broader financial wellness products, with additional flexibility during summer and winter holiday periods. The Compliance Manager will be responsible for overseeing the firm s marketing and advertising compliance program across both the investment adviser and broker-dealer businesses. This individual will lead a small team, act as a key partner to marketing and business stakeholders, and ensure adherence to SEC and FINRA regulatory requirements within a dynamic, high-growth fintech environment. RESPONSIBILITIES Marketing Compliance Oversight Lead and manage a team of two compliance professionals supporting marketing review and related compliance activitiesOversee the daily review and approval of marketing materials, social media content, and promotional communications across advisory and broker-dealer productsEnsure compliance with SEC Rule 206(4)-1, FINRA Rule 2210, Regulation DD, and other applicable regulatory standards Business Partnership & Advisory Serve as a primary compliance liaison to marketing and business teams, providing guidance on campaigns, product messaging, and strategic initiativesAdvise on marketing positioning, promotional strategies, and content development to ensure regulatory alignment Systems, Tools & Vendor Oversight Manage marketing review platforms and workflows, including automation tools and AI-enabled compliance solutionsOversee review and due diligence of third-party marketing vendors, influencers, and promotional partners as part of the broader vendor risk framework Program Development & Enhancement Identify and implement enhancements to marketing compliance processes, controls, and operational workflowsSupport development and refinement of policies, procedures, and governance frameworks Monitoring, Testing & Risk Management Conduct ongoing monitoring, testing, and compliance assessments of marketing-related controlsEnsure timely escalation, tracking, and resolution of compliance issues and regulatory risks Training & Stakeholder Support Support the development and delivery of compliance training materials for marketing and business teamsPromote regulatory awareness and best practices across the organization