Compliance

• Lead the program, ensuring compliance with advertising and marketing regulations, including digital platforms, social media, public appearances, and performance advertising
• Develop and implement policies, procedures, and controls that support compliant and effective communication strategies
• Provide strategic oversight and regulatory guidance for high-impact marketing initiatives, including third-party awards and designations, recruiting campaigns, and brand and thought leadership initiatives
• Build and nurture a team of professionals who provide timely, accurate, and business-aligned reviews of communications
• Foster a culture of accountability, continuous improvement, and client service within the team
• Collaborate with cross-functional leaders to identify and implement control enhancements and business practices that align with regulatory expectations
• Manage resolution of issues identified internally or by regulators, auditors, or third-party assessments
• Serve as a strategic advisor to firm leadership and governance committees on matters related to public communications
• Represent the firm in interactions with regulators and auditors, ensuring transparency and responsiveness
• Partner closely with senior leaders across departments to drive alignment between compliance requirements and business objectives

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