Associate Director, Sales & Marketing Compliance

Broad Street Consulting Group is a retained executive search consultant serving financial institutions. Our client is recognized as a leading global investment manager, serving both institutional and retail investors across North America, and managing over ~$500B in AUM. As the firm continues to expand its presence in the US, it seeks an Associate Director, US Marketing Compliance, to take ownership of the US marketing compliance function, based in its Boston office. This newly created role carries significant responsibility, visibility, and influence, supporting the firm’s expansion while ensuring its marketing practices remain rigorous, consistent, and aligned with global standards. The Associate Director, US Marketing Compliance, reports to the Global Head of Marketing Compliance in the UK and works closely with senior leaders and other colleagues. The primary focus is on reviewing and approving marketing materials across mutual funds, ETFs, and institutional strategies to ensure regulatory and internal compliance. Additionally, the Associate Director will be responsible for updating guidance documents, advising on business initiatives with compliance considerations, overseeing quarterly disclosure processes, and acting as the central point of contact for all US marketing compliance matters. The role encompasses hands-on review responsibilities, senior-level engagement, and the opportunity to reinforce robust compliance frameworks across the organization. The successful candidate will possess in-depth knowledge of the Advisers Act, Investment Company Act, and related regulatory frameworks, as well as the ability to influence and collaborate across business lines. Holding a FINRA Series 24 license is a plus, while additional certifications or advanced degrees are beneficial but not required. For the right individual, this is an opportunity to take on meaningful responsibility in a role that combines direct accountability, leadership exposure, and the chance to make a lasting impact on the compliance culture of a leading high-growth global asset manager.

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