Compliance Lead

Compliance Lead

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 join a global group of highly experienced lawyers and compliance 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.

To thrive in this role, you're experienced in reviewing marketing communications, you enjoy providing necessary guidance to writers and others, and you are passionate about staying informed about advertising and sales literature regulatory policies.

You have in depth knowledge of various investment vehicles including ETFs, mutual funds, alternative investments, separate accounts, SMAs and CITs, and experience with the regulatory framework applicable to marketing communications used by broker / dealers and RIAs to offer and promote the vehicles.

You're well versed in the rules governing securities advertising and have detailed knowledge of investment and economic concepts. You're comfortable acting as a subject matter expert with marketing department associates and providing guidance on applicable regulatory requirements.

You have experience with the applicable advertising rules (e.g., SEC Marketing Rule, FINRA 2210 and 2212, SEC Rule 482, etc.) related to the implementation of required policies and procedures as well as application of the rules to advertisements.

Attention to detail is a key attribute by which you define yourself. You're highly observant and can identify opportunities to enhance the control environment through sound business recommendations.

You're familiar with project life cycles and are motivated to meet deadlines without sacrificing quality. Your resilience has helped when you've enlisted the help of others, sifted through large data sets, re-prioritized, strategized, tailored communication, embraced conflict and identified critical issues.

You can manage competing priorities. You are comfortable when priorities shift, and you manage change with steadfast composure.

You are comfortable leveraging technology to improve efficiency and take initiative to simplify and scale without sacrificing quality.

You place high value on being authentic, respectful, and engaging. Your actions demonstrate that you value collaboration and different perspectives.

By asking great questions and bouncing ideas off others, you proactively share your perspective and listen to other perspectives with an open mind. You're a skilled communicator and thrive in team settings, at the same time, you are a self-starter who excels when working independently.

You appreciate the sense of accomplishment achieved when a job is done right, or you solve a problem using your good judgment.

FINRA Series 7 & 24 licenses are preferred.

Southern California Base Salary Range : $153,965-$246,344

New York Base Salary Range : $163,212-$261,139

In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital's annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.

We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS / HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.