Director of Marketing Compliance – Atlanta, GA

SignatureFD is a leading privately held financial design and advisory firm based in Atlanta, Georgia. With $10B+ in assets for over 1,900 client families, we serve high-net-worth individuals, families, and related entities. We believe that people are motivated to have a bigger impact with their wealth. We help clients simplify their financial lives, make better decisions, and bring focus to help maximize their time, money, relationships and ultimately, their impact.

Mission of the role:

Serve as the firm’s primary resource on marketing compliance, providing strategic guidance to the business, strengthening compliance workflows and documentation standards, and building a scalable, growth-ready compliance infrastructure.

Reports to:

This role reports to the Chief Compliance Officer.

Primary Function

As Director of Marketing Compliance, your responsibilities will include, but not be limited to:

  • Own and manage the firm’s Advertising & Marketing Rule compliance program, including review and approval of marketing materials, client communications, websites, social media, thought leadership, disclosures, and other external communications.
  • Serve as a trusted compliance resource and escalation point, applying independent regulatory judgment, identifying risks and trends, and recommending appropriate mitigation.
  • Provide compliance guidance for new business initiatives, technology platforms, marketing strategies, and expansion efforts while developing and maintaining effective review workflows, supervisory procedures, documentation standards, and approved-content resources.
  • Lead the onboarding, training, and development of team members supporting marketing compliance and serve as an approachable resource for advisors and staff.
  • Maintain a strong working knowledge of the Investment Advisers Act of 1940 and contribute to broader compliance initiatives, including private funds, performance advertising, regulatory filings, and day-to-day compliance matters.

Qualifications

  • 5-7+ years of compliance experience within an RIA, financial services firm or similarly regulated environment.
  • Strong working knowledge of the Investment Advisers Act of 1940, SEC Marketing Rule, and related advertising and disclosure requirements.
  • Demonstrated experience reviewing and approving marketing, performance, social media, website, and other client-facing communications.
  • Ability to independently interpret regulations, assess risk, exercise sound judgment, and provide practical guidance to business partners.
  • Experience developing or improving compliance policies, procedures, workflows, and documentation standards.
  • Strong communication and relationship-building skills, with experience training or mentoring others and managing multiple priorities.

Please submit resumes to jessica.soto@signaturefd.com.