Compliance Officer

About This Role

This role supports Thornburg’s compliance program, primarily focusing on reviewing and overseeing marketing and advertising materials for compliance with the SEC Marketing Rule and other applicable requirements. The officer also provides guidance on cross-border marketing and supports the broader compliance program, including policy testing, employee training, and regulatory research. Upon obtaining the FINRA Series 24 license, review responsibilities will expand to include registered fund and other fund products.

Responsibilities

• Review and approve marketing and advertising materials, including thought leadership, institutional, investment advisory, and strategy 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 timely, 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 the development, implementation, and revision of marketing review policies and procedures in response to new 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 of jurisdiction-specific requirements
• Coordinate and prepare Legal and Compliance responses to requests for proposals (RFPs) and due diligence questionnaires (DDQs)
• Assist with the implementation and testing of compliance policies and procedures, including supporting the annual review of the compliance program, and document results
• Develop and deliver compliance training to employees on relevant topics
• Assist with preparation for regulatory examinations and responses to regulatory requests, as directed
• Conduct regulatory research and analysis as needed
• Upon obtaining the Series 24 license, review and approve communications for registered fund and other fund products, including mutual funds, ETFs, and UCITS
• Perform other job duties assigned as necessary

Requirements

• Strong attention to detail and sound judgment in interpreting and applying regulatory requirements
• Excellent written and verbal communication skills, with the ability to explain compliance requirements clearly to non-compliance colleagues
• Collaborative and service-oriented; works effectively in a team environment and builds strong relationships across departments
• Ability to manage multiple priorities and meet deadlines in a fast-paced environment
• High level of integrity and discretion in handling confidential information