Compliance Officer - Marketing Review

Brown Brothers Harriman • New York, NY

4d

About The Position

At BBH, Partnership is more than a form of ownership—it’s our approach to business and relationships. We know that supporting your professional and personal goals is the best way to help our clients and advance our business. We take that responsibility seriously. With a 200-year legacy and a shared passion for what’s next, this is the right place to build a fulfilling career. Join us as a Compliance Officer-Marketing Review Brown Brothers Harriman is currently recruiting a Compliance Officer-Marketing Review to join our Compliance Team. In this role you will be responsible for the review and approval of firm public communications across the Investor Services, Investment Management and Private Banking lines of business. As a senior member of the Public Communications Compliance Group, the Compliance Officer must have an understanding of the regulations and laws that govern firm communications and must have experience in reviewing complex investment advisory communications. Alternatively, the Compliance Officer should have background and familiarity with regulatory compliance matters relating to the asset management business. They must have the ability to take ownership of the public communications process and work independently. The Compliance Officer is responsible for independently reviewing firm materials, including, but not limited to, website material, client or prospect presentations, RFPs and due diligence questionnaires. They are also responsible for identifying and analyzing communications-related regulatory developments, assessing the firm’s public communications controls and enhancing them as appropriate, and providing advice and expertise to partners/Senior Management on communications-related matters.

Requirements

• Bachelor’s, MBA, or JD degree with at least 5-8 years of marketing review or other relevant regulatory compliance experience
• Understanding of advertising rules and regulations, including but not limited to the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA Advertising Rules
• Expert in advertising requirements for marketing mutual funds, private funds, investment advisory, and custody services
• Other relevant regulatory compliance experience relating to the asset management business
• Ability to independently and effectively review complex investment advisory communications, using critical thinking skills
• Demonstrated ability to develop practical solutions that meet business needs while remaining compliant with applicable laws, regulations, and industry best practices
• Proven ability to communicate effectively with Partners/Senior Management
• Ability to prioritize multiple tasks based on balancing business need and regulatory requirements
• Strong written and verbal communication skills
• Proactive approach with a demonstrated ability to work independently and take ownership of the public communications process

Responsibilities

• Independently review and approve firm public communications for compliance with applicable laws, regulations, and best practices
• Effectively communicate advice to Partners/Sr Management
• Independently manage the prompt/effective review of public communications including coordination with global compliance officers and legal (if necessary)
• Provide comments and expertise to Partners/Senior Management
• Keep abreast of public communications-related regulatory developments and enhance Public Communications Policy as appropriate
• Keep abreast of industry best practices by industry benchmarking and financial industry committee memberships
• Train business on rules and regulations relating to firm communications
• Provide expertise in regulatory requirements that apply to marketing and advertising, specifically, a deep understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA advertising rules.
• Other regulatory compliance experience in the asset management business will be considered

Benefits

• High-quality benefits program emphasizing good health, financial security, and peace of mind
• Rewarding work with the flexibility to enjoy personal and family experiences at every career stage
• Volunteer opportunities to give back to your community and help transform the lives of others
• long-term savings
• healthcare
• income protection
• professional development opportunities
• time off

What This Job Offers

• Job Type: Full-time
• Career Level: Senior