Compliance Officer

Thornburg Investment Management•Santa Fe, NM

About The Position

The Compliance Officer supports Thornburg’s compliance program, primarily by reviewing and overseeing marketing and advertising materials—including thought leadership, institutional, investment advisory, and strategy and portfolio materials—for compliance with the SEC Marketing Rule and other applicable requirements. The role also provides guidance on cross-border marketing for specific products and strategies and supports the broader compliance program through policy testing, employee training, and regulatory research. After obtaining the FINRA Series 24 license, the officer’s review responsibilities expand to include registered fund and other fund products, such as mutual funds, ETFs, and UCITS.

Requirements

Bachelor’s degree required.
Minimum of 3–5 years of compliance experience in the financial services industry.
Experience reviewing marketing and advertising materials for compliance with SEC and/or FINRA requirements.
Working knowledge of SEC rules and regulations, particularly the Investment Advisers Act of 1940 and the Marketing Rule.
Experience interpreting and applying laws and regulations through legal or compliance work.
FINRA Series 24 license, or ability and willingness to obtain it within 12 months of hire.
Strong attention to detail and sound judgment in interpreting and applying regulatory requirements.
Excellent written and verbal communication skills, including the ability to explain compliance requirements clearly to non-compliance colleagues.
Collaborative, service-oriented approach and ability to build relationships across departments.
Ability to manage multiple priorities and meet deadlines in a fast-paced environment.
Integrity and discretion in handling confidential information.
Proficiency in Microsoft Office.

Nice To Haves

JD or other advanced degree.
Compliance experience with an investment adviser, broker-dealer, or fund complex.
Familiarity with the Investment Company Act of 1940 and FINRA Rule 2210.
Experience with cross-border or international marketing and distribution requirements.
Experience with compliance review or workflow platforms.

Responsibilities

Review and approve marketing and advertising materials for compliance with the SEC Marketing Rule and other applicable regulations; manage the review workflow and maintain required records.
Partner with Marketing, Investment, Sales, and Client Service teams to provide practical compliance guidance on materials and communications.
Monitor regulatory developments, SEC guidance, examination priorities, and industry best practices related to investment adviser marketing, and communicate relevant changes to stakeholders.
Assist with developing, implementing, and revising marketing review policies and procedures in response to legal requirements, regulatory guidance, or business changes.
Support the International team on cross-border marketing matters, including requests from non-U.S. offices and research into jurisdiction-specific requirements.
Coordinate and prepare Legal and Compliance responses to requests for proposals (RFPs) and due diligence questionnaires (DDQs).
Assist with implementation and testing of compliance policies and procedures, support the annual compliance program review, and document results.
Develop and deliver compliance training to employees.
Assist with regulatory examination preparation and responses to regulatory requests, as directed.
Conduct regulatory research and analysis as needed.
After obtaining the Series 24 license, review and approve communications for registered fund and other fund products, including mutual funds, ETFs, and UCITS.
Perform other duties as assigned.