Compliance Officer

Sterling Capital Management LLC; Charlotte (NC); On-site; USD 90,000 - 140,000; Full time

Job summary

Sterling Capital Management LLC, headquartered in Charlotte, seeks a Compliance Officer to support key elements of the firm's compliance program and regulatory guidance across the organization.

The role focuses on reviewing marketing materials for SEC Marketing Rule compliance, providing practical guidance to multiple teams, and enhancing internal controls and training to foster a strong culture of compliance.

Qualifications

• Bachelor's degree or equivalent combination of education and relevant experience.
• Five (5) or more years of compliance experience within a registered investment adviser, broker-dealer, asset manager, or financial services organization.
• Demonstrated experience reviewing marketing materials, advertisements, and client communications for compliance with the SEC Marketing Rule and applicable FINRA advertising requirements.

Responsibilities

• Review and approve marketing materials, advertisements, presentations, websites, social media content, and client communications for compliance with SEC Marketing Rule, FINRA advertising requirements, and other standards.
• Provide timely, practical compliance guidance to marketing, investment, sales, and client service teams throughout development and approval processes.
• Evaluate communications for regulatory risk and recommend revisions or mitigating measures.
• Support administration of the firm's Code of Ethics program, including personal trading reviews and certifications.
• Assist in maintaining and enhancing compliance policies, procedures, and internal controls.
• Participate in compliance risk assessments, monitoring, testing, and surveillance of the program's effectiveness.
• Assist with regulatory examinations, internal audits, and responses to inquiries.
• Identify regulatory developments and implement policy changes accordingly.
• Support compliance training initiatives and promote a culture of compliance.
• Collaborate with Legal, Marketing, Investments, Operations, and other teams on compliance matters.

Skills

Compliance experience

Education

Bachelor's degree

Tools

Marketing review systems

Job description

Sterling Capital Management LLC (SCM), founded in 1970, is an indirect, wholly-owned subsidiary of Guardian Capital Group Limited. Headquartered in Charlotte, SCM provides investment advisory services through mutual funds, separately managed accounts, model portfolios, and other commingled vehicles offered through a variety of intermediary and managed account platforms. SCM’s five distinct investment teams provide a full complement of fixed income, active equity, and multi-asset solutions.

Job Statement

The Compliance Officer will support key elements of the firm's compliance program, including Code of Ethics, compliance risk assessments, policies and procedures, internal controls, regulatory testing, and other compliance initiatives. The successful candidate will possess strong analytical skills, sound judgment, and the ability to effectively communicate compliance guidance while partnering with business stakeholders across the organization.

Essential Duties and Responsibilities

• Review and approve marketing materials, advertisements, presentations, websites, social media content, and client communications for compliance with the SEC Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940), FINRA advertising requirements, and other applicable regulatory standards.
• Provide timely, practical compliance guidance to marketing, investment, sales, and client service teams throughout the development and approval process.
• Evaluate communications for regulatory and compliance risk, and recommend appropriate revisions or mitigating measures.
• Support administration of the firm's Code of Ethics program, including personal trading reviews, certifications, reporting, and employee guidance.
• Assist in maintaining and enhancing the firm's compliance policies, procedures, and internal controls to address evolving regulatory requirements and business activities.
• Participate in compliance risk assessments, monitoring activities, testing, and surveillance designed to evaluate the effectiveness of the firm's compliance program.
• Assist with regulatory examinations, internal audits, and responses to regulatory inquiries, as needed.
• Identify and monitor regulatory developments and assist in implementing changes to policies, procedures, and business practices.
• Support compliance training initiatives and promote a strong culture of compliance throughout the organization.
• Collaborate effectively with Legal, Marketing, Investments, Operations, and other business partners on compliance-related matters.
• Perform other compliance responsibilities and special projects as assigned.

Required Qualifications:

• Bachelor's degree or equivalent combination of education and relevant experience.
• Five (5) or more years of compliance experience within a registered investment adviser, broker-dealer, asset manager, or financial services organization.
• Demonstrated experience reviewing marketing materials, advertisements, and client communications for compliance with the SEC Marketing Rule and applicable FINRA advertising requirements.
• Experience with compliance monitoring, surveillance, workflow, or marketing review systems.
• Strong working knowledge of the Investment Advisers Act of 1940, SEC Marketing Rule, FINRA advertising standards, and related regulatory guidance.
• Experience supporting broader compliance program activities, including policies and procedures, compliance testing, monitoring, risk assessments, and internal controls.
• Experience supporting or administering Code of Ethics programs, including employee certifications and personal trading oversight.
• Excellent written and verbal communication skills with the ability to provide clear, practical compliance guidance.
• Strong analytical, organizational, and problem-solving skills with exceptional attention to detail.
• Ability to assess issues conceptually and analytically while exercising sound judgment and offering practical, risk-based solutions.
• Demonstrated ability to manage multiple priorities and deadlines in a fast-paced environment.
• Ability to work both independently and collaboratively with cross-functional teams.