# Sr. Manager, Marketing Compliance

**Company:** [Betterment](https://hotfix.jobs/companies/betterment)
**Location:** New York, NY
**Role:** Legal
**Salary:** $160k – $180k/yr
**Skills:** Sec Rule 206(4)-1, Finra Rule 2210, Reg Dd, Marketing Review Tools, Artificial Intelligence, Third Party Risk Management, Series 24, Finra Compliance, Sec Compliance, Marketing Compliance
**Posted:** 2026-05-01

> Oversees marketing compliance reviews for investment products, ensuring adherence to SEC and FINRA regulations. Manages a small team, marketing review tools including AI, vendor reviews, and compliance programs while partnering with marketing.

## Job Description

## Responsibilities
- Manage and develop two direct reports, conducting daily marketing review and other program tasks
- Manage and oversee the daily review of marketing materials and social media related to investment advisory and broker-dealer products to ensure adherence to SEC Rule 206(4)-1, FINRA 2210, Reg DD and other applicable regulations
- Partner and collaborate with the marketing team, including advising on initiatives to help achieve business goals
- Manage our marketing review tool, including the tool's use of artificial intelligence
- Identify and implement marketing program enhancements
- Review marketing-related vendors including promoters and influencers as part of our third party risk management program
- Execute the Compliance program for area of responsibility, including promulgating policies and procedures, conducting monitoring, testing, and assessments, and providing training

## Requirements
- Expertise in SEC Rule 206(4)-1 and FINRA Rule 2210, including rules related to testimonials/endorsements and performance marketing
- Ability to organize and prioritize workflow and assignments in a deadline-oriented environment
- Ability to multi-task and work within tight deadlines
- Management experience
- A meticulous attention to detail
- Desire to work in a fast paced and changing environment
- Excellent communication and organizational skills
- Ability to work well across various business units
- Strong intellectual curiosity
- Series 24 required (or must obtain)

## Compensation
- New York City: $160,000 - $180,000 base salary
- Eligible for variable compensation in the form of a company incentive bonus

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