Senior Compliance Officer, Marketing & Communications Compliance

Harris Associates•Chicago, IL

10h•$145,000 - $165,000

About The Position

The Senior Compliance Officer will lead Harris Oakmark’s marketing compliance review function, providing regulatory oversight, guidance, and approvals for marketing materials and external communications across its investment advisory business, including separately managed accounts, mutual funds, and exchange-traded funds. Reporting to the Head of Testing and Controls, this role serves as a subject matter expert on investment adviser and investment company marketing regulations, including the SEC Marketing Rule, and partners with Marketing, Distribution, Legal, and other business groups to support effective, timely, and compliant marketing initiatives. The role combines hands-on review of marketing materials with ownership of marketing compliance processes, policies, and controls. The officer will improve the efficiency, consistency, and scalability of reviews, including through technology and workflow enhancements. The position also provides business guidance, oversees social media and electronic communications compliance, supports testing and examinations, and develops training for business partners.

Requirements

Bachelor’s degree in business administration, finance, or a related field.
Ideally 10–15 years of relevant financial services industry experience, such as investment advisory, mutual funds, or broker-dealer experience.
Active FINRA Series 24 (General Securities Principal) registration required.
Understanding of SEC and FINRA laws, regulations, and guidance, particularly concerning investment advisory marketing activities, social media, and mutual funds.
Understanding of GIPS compliance and disclosure requirements.
Strong interpersonal skills and ability to work with personnel at all levels with integrity and maturity.
Strong verbal and written communication skills, with the ability to present ideas and information clearly, logically, and succinctly.
Proactive, hands-on, collaborative attitude and readiness to take ownership of initiatives.
Attention to detail and excellent organizational skills, with the ability to manage multiple priorities simultaneously.

Responsibilities

Lead review and approval of marketing materials and external communications across the investment advisory business, including separately managed accounts, mutual funds, ETFs, and institutional and intermediary distribution channels.
Review presentations, pitch books, fact sheets, performance reports, investment commentary, thought leadership, websites, social media, webinars, press releases, and other client-facing communications.
Serve as a subject matter expert on the SEC Marketing Rule, applicable Investment Company Act advertising requirements, and other relevant SEC and FINRA regulations.
Evaluate investment performance advertising, including gross and net performance, hypothetical performance, extracted and related performance, composite presentations, benchmark comparisons, and associated disclosures.
Assess marketing claims for accuracy, substantiation, fair and balanced presentation, and consistency with investment strategies, fund disclosures, and firm policies.
Provide guidance on testimonials, endorsements, third-party ratings, awards, social media, and other marketing practices.
Identify and escalate complex or higher-risk marketing compliance matters and collaborate with stakeholders on solutions.
Administer and enhance marketing compliance review procedures, workflows, review standards, documentation, and escalation protocols.
Identify and implement improvements to the efficiency, consistency, and scalability of marketing reviews while maintaining regulatory safeguards.
Partner with Marketing, Distribution, Technology, and other stakeholders to evaluate, implement, and optimize marketing compliance technology, including automated review tools and workflow management systems.
Maintain review records, approval documentation, and substantiation of marketing claims in accordance with applicable recordkeeping requirements.
Monitor review activity, identify recurring issues and emerging risks, and recommend process and control improvements.
Support compliance testing, regulatory examinations, internal audits, and remediation efforts concerning marketing and communications compliance.
Advise Marketing, Distribution, Investment teams, Legal, and other business partners on marketing and communications matters with timely, practical, risk-based guidance.
Build working relationships with stakeholders and collaborate to support marketing initiatives while maintaining appropriate regulatory standards.
Advise on new marketing strategies, products, distribution channels, and communications initiatives, identifying compliance considerations early in development.
Develop and deliver training and guidance on marketing compliance requirements, regulatory developments, and firm policies.
Collaborate to resolve complex regulatory questions and establish consistent interpretations of applicable requirements.
Provide oversight and guidance on social media and external electronic communications, including advertising, disclosure, supervision, and recordkeeping requirements.
Review and advise on emerging digital marketing channels and practices, including new technologies and AI-enabled marketing tools.
Coordinate with Compliance, Legal, and Technology personnel on electronic communications policies, monitoring, and escalation of potential compliance concerns.