Compliance Lead

About the role

As a Compliance Lead within our sales literature review team in Legal & Compliance, you will provide compliance oversight and review of marketing materials for retail and institutional investors in various investment vehicles, including ETFs, mutual funds, alternative investments, separately managed accounts, and collective investment trusts. You will work with global teams of highly experienced lawyers and compliance and risk professionals who work collaboratively to guide business decisions that make an impact in our highly regulated environment. Every day, you will provide guidance to internal stakeholders on the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues when reviewing communication materials.

Responsibilities

• Provide compliance oversight and review of marketing materials for retail and institutional investors across multiple investment vehicles (ETFs, mutual funds, alternative investments, separately managed accounts, collective investment trusts)
• Provide guidance to internal stakeholders on applicable rules, regulatory requirements, internal guidelines, disclosure standards, and other risk-related issues when reviewing communication materials
• Act as a subject matter expert with marketing department associates and provide guidance on applicable regulatory requirements
• Apply critical thinking and sound regulatory judgment when evaluating recordkeeping requirements for marketing communications, ensuring marketing materials, approvals, supporting substantiation, and related review records are maintained in accordance with SEC, FINRA, and firm recordkeeping standards
• Identify opportunities to enhance the control environment through sound business recommendations
• Manage competing priorities and adapt when priorities shift
• Leverage technology to improve efficiency and simplify processes without sacrificing quality

Qualifications

• In-depth knowledge of various investment vehicles including ETFs, mutual funds, alternative investments, separate accounts, SMAs and CITs
• Experience with the regulatory framework applicable to marketing communications used by broker/dealers and RIAs to offer and promote investment vehicles
• Well-versed in the rules governing securities advertising with detailed knowledge of investment and economic concepts
• Experience with applicable advertising rules (SEC Marketing Rule, FINRA 2210 and 2212, SEC Rule 482, etc.) related to implementation of required policies and procedures and application to advertisements
• Ability to apply critical thinking and sound regulatory judgment
• Strong attention to detail and highly observant
• Familiarity with project life cycles and ability to meet deadlines without sacrificing quality
• Ability to manage competing priorities and adapt to change with composure
• Skilled communicator who thrives in team settings and excels when working independently
• Proactive self-starter who shares perspectives and listens openly to others
• Applies good judgment to solve problems
• FINRA Series 7 & 24 licenses preferred

Pay

• Charlotte Base Salary Range: $136,749-$218,798
• Southern California Base Salary Range: $159,354-$254,966
• Eligible for individual annual performance bonus
• Eligible for Capital's annual profitability bonus
• Retirement plan with Capital contributing 15% of eligible earnings

Benefits

• Generous time-away and health benefits from day one
• Flexible work options
• 2-for-1 matching gifts for charitable contributions
• Opportunity to secure annual grants for organizations you support
• On-demand professional development resources
• Company-funded retirement contribution factoring in salary and variable pay including bonuses