Range
Regulatory Compliance Manager, GTM Enablement
$100K–$200K
McLean, VA +1 · On-site · Manager · Full-time · Posted Oct 2, 2026
- Location
- McLean, VA
New York City
About the job
Owns marketing, advertising, and client-facing product compliance workflows, translating regulatory requirements into practical guidance and maintaining exam-ready records.
What you'll do
- Run marketing and advertising reviews and approvals under the SEC Marketing Rule and FINRA communications standards.
- Partner with product teams on compliance requirements for client-facing features, disclosures, releases, and user flows.
- Maintain advertising and communications records, documentation, and processes that support exam and audit readiness.
What they ask for
- Regulatory compliance experience in investment advisory, fintech, or financial services, focused on marketing, advertising, or product compliance.
- Strong working knowledge of SEC Marketing Rule requirements and FINRA communications standards.
- Ability to partner cross-functionally and translate regulatory requirements into actionable guidance.
- Series 7 and Series 24.
Nice to have
- Experience supporting regulatory exams, audits, or inquiries.
- Familiarity with compliance tools for advertising review and books-and-records management.
Pay
$100,000 – $200,000 USD base salary
Tools
SEC Marketing Rule, FINRA communications standards
Model-written summary · the original posting is authoritative