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Compliance Consultant - Financial Marketing page is loaded

Compliance Consultant - Financial Marketing

Apply locations Kansas City, Missouri New York, New York time type Full time posted on Posted 9 Days Ago job requisition id R0005232

About Us

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 theres an unexpected side to us, too. We direct over 40% of our profits every yearmore than $2 billion since 2000to the Stowers Institute for Medical Research. Our ongoing financial support drives the Institutes breakthrough work and mission of defeating life-threatening diseases like cancer and Alzheimers. 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 youre excited to learn more about us, we cant wait to learn more about you.

Role Summary

Were seeking an exceptionally skilled Compliance Consultant to join our world-class Marketing Compliance Team in a full-time, in-house capacity. You will review, analyze, and provide guidance and approval for communication materials intended for use with retail, intermediary, institutional, and non-US audiences. Your role ensures flawless compliance with regulatory requirements, internal guidelines / policies, and risk-related issues. As a crucial team member, you will review diverse public communications, including printed materials, presentations, social media, videos, web pages, and email campaigns. In addition, the consultant may be responsible for filing material with FINRA, if applicable. Collaboration with marketing experts and the Legal Department is key to your success!

This hybrid position will be based out of our Kansas City, MO or New York City, NY office.

This position is not eligible for visa sponsorship. Applicants must be authorized to work in the U.S. without visa sponsorship, now or in the future.

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 (Required)

Bachelors degree in a related field or relevant equivalent 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.

Demonstrates the American Century Investments Winning Behaviors : Client Focused, Courageous and Accountable, Collaborative, Curious and Adaptable, Competitively Driven .

Additional Assets (Preferred)

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.

The above statements are not intended to be a complete list of all responsibilities, duties, and skills required .

What We Offer

Competitive compensation package with bonus plan

Generous PTO and competitive benefits

401k with 5% company match plus annual performance-based discretionary contribution

Tuition reimbursement, formal mentorship program, live and online learning

Learn more about our benefits and perks.

For New York based candidates, the salary range for this role is $110,000 to $130,000. Actual offers are based on various factors including but not limited to a candidates location, skills, experience, and relevant education and / or training. This position is eligible for cash incentive providing the potential to earn more.

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.

We encourage people of all backgrounds to join us on our mission. If you require reasonable accommodation for any aspect of the recruitment process, please send a request to [email protected]. All requests for accommodation will be addressed as confidentially as practicable.

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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