Head of Marketing Compliance

Location: New York, NY (Hybrid 3 days on-site) | Type: Full-time

About Optima Partners

Established in 2014, Optima is a leading global regulatory compliance and cybersecurity consulting firm advising financial institutions, including private equity firms, investment banks, and hedge funds, on regulatory obligations across the jurisdictions in which they operate. With offices in New York, Miami, San Francisco, Los Angeles, San Diego, London, Dubai, Abu Dhabi, Hong Kong, and Singapore, Optima combines deep subject-matter expertise with a practical, business-focused approach to compliance.

Role Overview

Optima Partners is seeking a Head of Marketing Compliance to lead the firm's marketing review team which reviews the marketing materials and communications of of our clients which are primarily private funds (private equity and hedge funds) and wealth managers. This is a dedicated review and advisory role: the Head of Marketing Compliance does not create marketing content, but instead independently examines client-prepared marketing materials, pitch decks, investor communications, and website and digital content, and issues clear, written compliance comments and required revisions in the manner of outside counsel in accordance with the SEC’s Marketing Rule and industry best practices.

The successful candidate will bring deep, current knowledge of SEC marketing and advertising requirements, including the Investment Advisers Act Marketing Rule (Rule 206(4)-1), and will be comfortable working directly with client marketing, IR, and legal teams to negotiate and finalize compliant materials under time pressure. This role carries sole ownership of the marketing compliance review process and sets the standard for what "SEC-ready" marketing material means across Optima's client base.

Key Responsibilities

Marketing Materials Review

• Serve as the sole reviewing authority for client marketing and investor communications materials submitted for compliance review, including pitch decks, fact sheets, tear sheets, capital raising materials, performance presentations, RFP responses, and website content.
• Review materials for compliance with SEC marketing and advertising rules, most notably the Investment Advisers Act Marketing Rule (206(4)-1), and applicable requirements under the Securities Act, Exchange Act, and FINRA guidance where relevant to client activities.
• Assess performance advertising, hypothetical performance, case studies, and testimonials/endorsements against the Marketing Rule's substantiation, disclosure, and general prohibition standards.
• Draft clear, specific, legally-grounded written comments on client materials, citing the applicable rule or guidance for each required change, in a style and format comparable to outside counsel markup.

Client & Cross-Functional Engagement

• Liaise directly with client marketing, investor relations, and in-house legal/compliance teams as well as internal Optima relationship Partners to explain required changes, respond to pushback, and negotiate compliant alternative language.
• Manage review timelines against client publication and distribution deadlines, prioritizing a high-volume pipeline of concurrent submissions across multiple client engagements.
• Track review status, turnaround times, and open items for each client engagement, and escalate unresolved or high-risk items to Optima senior leadership as needed.

Standards, Precedent & Risk

• Build and maintain a firm-wide precedent library of approved language, standard disclosures, and comment templates to drive consistency and efficiency across reviews.
• Monitor SEC rulemaking, no-action letters, enforcement actions, and guidance relevant to marketing and advertising, and translate developments into updated review standards.
• Identify and flag recurring or systemic marketing compliance issues across the client base to inform client advisory conversations and training.

This role is strictly limited to the review and compliance sign-off function. It does not include content creation, campaign strategy, design, or brand/marketing execution work, which remain the responsibility of client teams.

Qualifications & Requirements

Required

• 10 years of experience in investment adviser marketing/advertising compliance, with direct, hands-on experience applying the SEC Marketing Rule (206(4)-1) to real client materials.
• Prior experience at a registered investment adviser, private equity firm, investment bank, hedge fund, law firm, or compliance consultancy in a marketing review, compliance, or regulatory capacity.
• Working knowledge of related regulatory frameworks, including the Investment Advisers Act, Investment Company Act (where applicable), FINRA advertising rules, and general anti-fraud provisions.
• Demonstrated ability to review dense marketing and performance materials quickly and accurately, and to produce precise, well-substantiated written comments under deadline pressure.
• Strong client-facing communication skills, with the confidence to hold a compliance position under commercial pushback from senior client stakeholders.
• Experience managing a high-volume review pipeline across multiple concurrent clients or business lines.

Preferred

• J.D., or equivalent compliance/legal qualification, though not required for candidates with strong hands-on regulatory review experience.
• Familiarity with private equity and hedge fund fundraising materials specifically (PPMs interplay, case studies, track record presentations, hypothetical and predecessor performance).
• Prior experience at a compliance consulting firm reviewing materials across multiple client mandates simultaneously or similar experience in-house or at a regulator.

Proficiency Assessment:

Candidates will be required to demonstrate their marketing review proficiency through completion of (2-3) typical marketing review samples to assess regulatory acumen and analysis around the rule including FAQ and Risk Alert guidance from the SEC Divisions of Investment Management and Examinations.

Salary: 175k based on experience

Optima Partners is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.