Compliance Consultant - Financial Marketing

Our Firm

American Century Investments® is a leading global asset manager with over 65 years of experience helping a broad base of clients achieve their financial goals. Our expertise spans global equities and fixed income, multi-asset strategies, ETFs, and private investments.

Privately controlled and independent, we focus solely on investment management. But there’s an unexpected side to us, too. We direct over 40% of our profits every year—more than $2 billion since 2000—to the Stowers Institute for Medical Research. Our ongoing financial support drives the Institute’s breakthrough work and mission of defeating life-threatening diseases like cancer and Alzheimer’s. So, the better we do for our clients, the more we can do for everyone.

All 1,400 of us across the globe are inspired every day by the unique difference our hard work can make in so many lives. It shows in the curiosity we bring to every initiative, the deep relationships we build with our clients, and the way we treat each other in the hallway. If you’re excited to learn more about us, we can’t wait to learn more about you.

Role Summary

We’re seeking a Compliance Consultant – Financial Marketing to join our Marketing Compliance Team in a full-time, in-house capacity. They will review, analyze, and provide guidance/approval for communication materials intended for use with retail, intermediary, institutional, and non-US audiences. The consultant will ensure compliance with regulatory requirements, internal guidelines/policies, and other risk-related issues. The individual must maintain a clear understanding of the products and services being marketed and demonstrate the ability to apply specific rules and disclosures to them. As a member of the Marketing Compliance team, this individual will be responsible for reviewing all types of communications distributed to the public, including printed material, presentations, social media, video, web pages, email campaigns, etc. In addition, the consultant may be responsible for filing material with FINRA, if applicable.

Under the direction of the Director of Compliance, this individual will work closely with experts in various marketing areas, subject matter experts, the Legal Department, and other team members involved in the oversight of communications with the public.

This hybrid position will be based out of our Kansas City, MO office.

How You Will Make an Impact

• Reviewing a robust number of marketing materials promoting the firm's products and services to ensure they meet regulatory requirements.
• Working with business partners to provide regulatory guidance with the goal of producing strong, effective, and compliant communications.
• Proactively staying current with applicable securities laws, rules, regulations, and guidance related to communications.
• Assisting in developing and conducting training for marketing, communications, public relations, social media, and electronic content teams to enhance knowledge of compliance requirements.
• Interacting collaboratively with business project teams, investment professionals, legal counsel, and team members.
• Assisting with the timely and accurate filing of marketing materials with FINRA, if applicable.

What You Bring to the Team

• Bachelor’s degree in a related field and relevant work experience with mutual fund and advisory product marketing materials, broker-dealer regulation, compliance, or legal.
• Proven ability to understand and communicate effectively about technical, complex compliance standards and policies.
• FINRA Series 7 and 24 licenses required. Alternatively, must be willing to complete and maintain such licenses.
• Interest in, and comfort with, emerging communication technology.
• Outstanding organizational skills with the ability to prioritize and handle several tasks, make independent judgments, and be diligent in a fast-paced, time-sensitive environment.
• Ability to work independently and as part of a high-functioning, collaborative team of compliance professionals.
• Excellent writing and editorial skills.
• Ability to interpret, understand, and apply rules and regulations applicable to the SEC, GIPS, FINRA, MSRB, and internal guidelines.
• Strong working knowledge of the financial industry; investment and economic concepts/trends; and applicable regulatory standards.
• Effective analytical reasoning, good personal/business judgment, problem-solving skills, and risk assessment abilities.
• Ability to work well with a team, have a strong work ethic, and display integrity.
• Innovative and collaborative with the ability to build credibility with business partners and team members.

Additional Assets

• 3-8 years of applicable experience in communications review in the financial services industry or equivalent experience.
• Comprehensive understanding and experience in the financial industry with marketing/advertising compliance and dedication to policy and process controls related to marketing compliance.
• Specialized regulatory compliance knowledge relevant to securities marketing (e.g., FINRA rules, SEC Rules, GIPS requirements, Brokerage, 529 Savings Plans, or Non-US Global Marketing).
• Advanced degree or other professional certification, is a plus.

Additional Requirements

Employees are required to be in the office on a scheduled frequency. Adherence to this schedule is essential to fulfilling the expectations of the role.

American Century Investments is committed to complying with the Americans with Disabilities Act and all other applicable Equal Employment Opportunity laws and regulations. As such, American Century strives to provide a reasonable accommodation to any qualified individual under the ADA to perform essential job functions.

American Century Investments believes all individuals are entitled to equal employment opportunity and advancement opportunities without regard to race, religious creed, color, sex, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, age for individuals forty years of age and older, military and veteran status, sexual orientation, and any other basis protected by applicable federal, state and local laws. ACI does not discriminate or adopt any policy that discriminates against an individual or any group of individuals on any of these bases.

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American Century Proprietary Holdings, Inc. All rights reserved.

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