Director, Marketing Compliance – Legal Review

Loomis Sayles is a performance-driven active asset management company that seeks to identify exceptional investment opportunities on behalf of institutional and retail clients worldwide. We believe active management fueled by proprietary, best-in-class research helps us achieve financial success for our clients. Founded in 1926, Loomis Sayles currently oversees approximately $431 billion in assets under management (as of 31 December 2025) for global clients spanning more than 50 countries.

We foster a culture of entrepreneurialism, where all employees are empowered and encouraged to develop themselves and their ideas. Our culture centers on our shared IDEALS, the core characteristics of who we aspire to be as employees and an organization.

INCLUSIVE & DIVERSE-DEDICATED TO TEAMWORK–EXCELLENT–ACCOUNTABLE–LEADERS-SOLUTIONS-ORIENTED

About The Role

Loomis Sayles is committed to the continual improvement of our performance, processes and people. As part of this commitment, we are looking to hire an enthusiastic and passionate candidate, eager to contribute to our continued success through the following employment opportunity:

The Director of Marketing Compliance - Legal Review is responsible for overseeing the legal review and approval of advertising and marketing communications for our global asset management firm. This role ensures that all materials comply with applicable regulatory requirements, internal policies, and industry best practices, while supporting commercial objectives and efficient time‑to‑market.

The role sits at the intersection of Legal, Compliance, Marketing, and Distribution, requiring strong judgment, regulatory knowledge, and the ability to provide practical, solutions‑oriented guidance in a fast‑paced environment. The Candidate should have good interpersonal skills to lead the team and work well with internal clients.

Job Responsibilities

Leadership & Oversight

• Manage and oversee the Marketing Compliance - Legal Review team, including workload allocation, prioritization, and quality control.
• Serve as a subject‑matter expert on advertising and marketing regulations applicable to asset management (e.g., SEC Marketing Rule, MiFID II, UCITS, AIFMD, local jurisdictional rules).
• Establish and maintain consistent review standards, procedures, escalation protocols, and service‑level expectations.
  
  

Legal & Regulatory Review

• Review and approve a broad range of materials, including:
• Marketing presentations, pitch books, factsheets, and website
• RFPs, RFIs, and due‑diligence questionnaires
• Thought leadership, commentaries, and white papers
• Social media and digital communications
• Ensure materials are fair, balanced, accurate, and not misleading, with appropriate disclosures and risk language.
• Advise on performance presentation, use of hypotheticals, ESG claims, and forward‑looking statements.
  

Policy & Process Management

• Develop, maintain, and enhance marketing and advertising policies, templates, and guidance documents.
• Partner with Legal counsel to monitor regulatory developments and assess their impact on marketing practices.
• Drive process improvements, including use of review systems, templates, and pre‑approved content to increase efficiency.
  
  

Stakeholder Partnership

• Act as a trusted advisor to Sales, Marketing, Product, and Investment teams, providing practical guidance and solutions that support business objectives while managing regulatory risk.
• Collaborate closely with global legal and compliance colleagues to ensure consistency across regions.
• Participate in product launches and strategic initiatives from a marketing‑review perspective.
  
  

Training & Risk Awareness

• Deliver training to Marketing, Sales, and other stakeholders on marketing rules, regulatory expectations, and internal policies.
• Identify recurring issues or risk themes and proactively address them through guidance or training.
  
  

Qualifications & Education Requirements

• 10 years experience in legal and/or compliance department of an investment company or in a law firm
• Bachelors degree
• Prior experience performing marketing and advertising review required; experience implementing SEC Rule 206(4)-1 (adopting release and subsequent guidance)
• Prior management experience and training
• Excellent oral and written communications, organizational and time management skills, ability to collaborate with sales, marketing and product groups
• Ability to develop strong working relationships with marketing groups and product teams; provide support and training through conversation and frequent meetings
• Experience in working under pressure, managing multiple conflicting priorities and meeting deadlines in a fast-paced environment
• Competence in interacting with and influencing business associates at all levels
• Excellent judgment and discretion
• Knowledge of rules and regulations for advertising and marketing investment services and products
• Understanding of standards for marketing and advertising advisory services based on the Investment Advisors’ Act, no-action letters, and other legal authority rules
• Knowledge and understanding in the following areas is preferred:
• GIPS rules for one-on-one presentations and advertising/marketing materials
• Institutional and retail investment vehicles including separate accounts, mutual funds, separately managed accounts (SMAs), private placements, ETFs and alternative investments
• Adtrax Marketing Compliance review tool
  

Additional Requirements

The position follows a hybrid schedule with two days work from home and three days work from office.

Loomis Sayles is committed to offering competitive and equitable compensation. The salary range for this position is $150,000 - $190,000 USD. Your starting salary will be based on your experience, skills, qualifications and local benchmarking. This position is also eligible for a discretionary annual incentive award, which is based on individual and company performance. In addition to your compensation, you will have access to a comprehensive benefits package designed to support your health, well-being and financial security.

Global Benefit Statement

At Loomis Sayles, we believe benefits should empower our employees to thrive — at work and beyond. To attract and retain diverse talent worldwide, we are committed to offering comprehensive, competitive benefits that support your well-being, your family and your future. Designed with both local and global needs in mind, our benefits ensure that wherever you work, you have the support and resources to succeed.

Core Global Benefit Offerings

EEOC and Diversity Statement

Loomis Sayles is deeply committed to building a diverse and inclusive workforce in which talented individuals can realize their full potential and contribute to our growth and success. Please consider applying for this role even if your work history and skillset doesn’t completely match the job description. We believe creativity, tenacity and humility are as valuable as specific skills that can be practiced and perfected on the job.

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, creed, color, gender, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.