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Regulatory Compliance Officer

General Overview:

The individual will be responsible for ensuring all marketing materials are within regulatory compliance and assist with the testing and training of the compliance program.


  • Partner with various business groups to review and approve advertisements, sales literature, due diligence questionnaires, pitch books, newsletters, client/prospect meeting materials, white papers, disclosures, blog posts and various ad hoc and special projects.
  • Maintain compliance policies and procedures and conduct the compliance monitoring program.
  • Collaborate with the marketing team and other relevant teams to ensure that marketing review standards are applied consistently across the firm.
  • Enhance processes to facilitate submission and review of marketing and client servicing materials. Stay current with all industry and regulatory changes.
  • Maintain an understanding of regulatory requirements relating to the investment industry, analyze changes and make recommendations for the compliance program
  • Assist in coordinating regulatory, external and internal audits

Minimum Qualifications:

  • Bachelor’s Degree
  • Minimum 2+ years of experience
  • Previous experience in fixed income


Please apply directly with an updated resume.