Regulatory Compliance Officer

Position Summary

The AVP/VP, Regulatory Compliance Officer will report to the firm’s Broker-Dealer Chief Compliance Officer and be responsible for assisting with a variety of compliance tasks including, but not limited to: (i) reviewing marketing communications and presentations; and (ii) supervising the activities of the broker-dealer, including but not limited to conducting trainings for sales staff, and assisting with branch office inspections.  The qualified candidate may also be asked to assist with other general compliance matters.  This is a hands-on position in compliance within a global asset management organization of over 600 employees.  

Essential Duties

• Have a strong understanding of SEC, CFTC, FINRA and other relevant regulatory rules, regulations and guidelines as it pertains to marketing and advertising, especially the SEC’s new marketing rule;
• Review marketing presentations and communications, social media content, media appearances, webinar content, RFPs across numerous product lines including registered and unregistered funds and segregated accounts consistent with U.S. and international rules and guidance;
• Have a strong understanding of FINRA rules as they pertain to broker dealers, including rules regarding advertising and supervision.
• Develop or modify policies and procedures and desktop guidance with respect to marketing and advertising in response to changing regulatory requirements and/or changes to the business.
• Prepare and conduct trainings for sales teams and other employee populations as appropriate.
• Attend industry conferences and webinars relevant to this position and general compliance topics.
• May assist other Compliance Officers in other general compliance matters; and
• Effectively manage projects and other staff, as necessary.

Required Qualifications

• Bachelor’s Degree 6 years of relevant compliance related work experience.
• Solid understanding of the securities industry and the regulatory requirements related to registered investment companies and the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934 and the rules and regulations thereunder, including FINRA and SEC rules regarding marketing and advertising.
• Prior compliance experience with registered investment advisers, registered investment companies, and/or broker-dealers.
• Possess current Series 7 and Series 24 Licenses.

Professional Skills Qualifications

• Excellent interpersonal skills; demonstrated success in building and maintaining strong internal and external relationships.
• Strong organizational and time management skills; ability to effectively identify and prioritize the most critical tasks.
• Excellent written and verbal communication and presentation skills and attention to detail.
• A desire to continually improve processes by researching and implementing best practices.
• Strive to continuously learn, keeping abreast of the changing regulatory and business landscape with an inquisitive mind.
• Exercise good judgment and maintains strict confidentiality.
• A team player with the ability and willingness to pitch in as needed in areas outside one’s own core expertise.
• Ability to comprehend complex regulations and apply to practical use cases.
• Proficiency in Microsoft Office applications (Word, Excel, Outlook).

Desired Qualifications

• Previous experience either as a paralegal or an attorney is a plus.
• Additional FINRA licenses.
• Subject matter expertise in specific compliance matters, in addition to those noted above.
• Project management skills a plus.

Estimated Compensation:

Base Salary: For CA based position, the base salary range is $115K-$150K. This is an anticipated range and represents base salary only.

Other Compensation: Eligible to be considered for an annual discretionary bonus

Benefits: Eligible for TCW’s comprehensive benefits package. See more information here.

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Salary : $115,000 - $150,000