Job Description

Cerity Partners is seeking a Compliance Officer to join its Compliance Department with a primary focus on marketing and advertising compliance. This individual will serve as a key resource within the compliance team responsible for the review and approval of marketing materials across the firms affiliated entities the implementation and maintenance of compliance policies and procedures related to advertising and ongoing support of the firms broader regulatory obligations.

The Compliance Officer will work closely with the firms marketing business development and investments teams as well as senior compliance leadership to ensure that all communications and marketing activities comply with SEC Rule 206(4)-1 (the Marketing Rule) and other applicable requirements under the Investment Advisers Act of 1940. Given the firms size continued growth through acquisitions and active presence across multiple channels and affiliated entities this role requires strong regulatory knowledge sound judgment and the ability to provide clear practical guidance in a dynamic environment.

Primary Responsibilities:

• Review and approve marketing materials for compliance with SEC Rule 206(4)-1 including pitch decks RFPs website content and social media

• Analyze whether communications meet the definition of advertisement under the Marketing Rule applying the two-prong definition to novel and evolving content types and distribution channels

• Assess testimonial and endorsement arrangements for required disclosures compensation screening ineligible person restrictions and written agreement requirements

• Evaluate third-party ratings and rankings for disclosure compliance including methodology time period and compensation disclosures

• Review performance and hypothetical performance presentations for compliance with applicable conditions net/gross presentation requirements and required disclosures

• Maintain firm disclosure libraries advertising recordkeeping obligations under Rule 204-2 and written supervisory procedures related to marketing content

• Partner with marketing business development and investments teams to provide clear actionable guidance on advertising compliance questions

• Support annual Form ADV amendments including data collection item-by-item review and coordination with internal stakeholders Assist with SEC examination preparation and response including document collection production and drafting of cover correspondence

• Monitor SEC rulemaking risk alerts and examination priority releases and assess impact on firm policies and procedures

• Conduct compliance due diligence in connection with M&A integrations including review of existing disclosures referral arrangements and marketing materials

• Develop and deliver compliance training to advisors and business teams on regulatory requirements and firm policies

• Remain current and anticipate changes in the regulatory environment that may impact the review standards and marketing communications

• Assist with or contribute to other ad hoc compliance initiatives and projects as directed

Required Qualifications:

• Bachelors degree required; advanced degree in law finance or a related field a plus

• Compliance experience at an SEC-registered investment adviser broker-dealer or compliance consulting firm

• Working knowledge of SEC Rule 206(4)-1 (the Marketing Rule) including testimonials endorsements third-party ratings and performance advertising requirements

• Familiarity with the Investment Advisers Act of 1940 including Form ADV filing requirements and SEC examination processes

• Strong analytical writing and communication skills with the ability to translate complex regulatory requirements into practical business-oriented guidance

• Ability to manage multiple priorities and work effectively across teams in a fast-paced growth-oriented environment

• High degree of professional judgment integrity and attention to detail

• Experience with compliance management systems and advertising review workflows preferred

Compensation Range:

$80000 - $100000

Why Cerity Partners:

Our people drive our success by working together to deliver exceptional service to our clients. Below is a glimpse of the key elements of our total rewards package:

• Health dental and vision insurance day 1!

• 401(k) savings and investment plan options with 4% match

• Flexible PTO policy

• Parental Leave

• Financial assistance for advanced education and professional designations

• Opportunity to give back time to local communities

• Commuter benefits

Cerity Partners is committed to providing an environment where all individuals can be their authentic selves. We are an Equal Opportunity Employer who respects each individual and supports the diverse cultures perspectives and experiences of our colleagues. We are dedicated to building an inclusive and diverse workforce and will not discriminate based on race religion national origin sex sexual orientation age veteran status disability status or any other applicable characteristics protected by law.

Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs. For those needing accommodations please reach out to Applicants must be authorized to work for any employer in the U.S.

Cerity Partners is committed to providing an environment where all individuals can be their authentic selves. We are an Equal Opportunity Employer who respects each individual and supports the diverse cultures perspectives and experiences of our colleagues. We are dedicated to building an inclusive and diverse workforce and will not discriminate based on race religion national origin sex sexual orientation age veteran status disability status or any other applicable characteristics protected by law.

Cerity Partners is committed to working with and providing accommodations to applicants with disabilities or special needs. For those needing accommodations please reach out to Applicants must be authorized to work for any employer in the U.S.

Required Experience:

Unclear Seniority

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