Compliance Officer - Marketing

Dagen; Fort Worth (TX); On-site; USD 110,000 - 140,000; Full time

Benefits offered by this job

Employer-paid medical, dental, vision insurance

Employer-paid life and disability insurance

Competitive salary and discretionary bonus

401(k) plan with profit-sharing contribution

Disability insurance

Bonus potential

401(k) with profit sharing

Job summary

A financial services firm in Fort Worth is seeking a motivated Compliance Officer focusing on the review of marketing materials and compliance testing. The ideal candidate will have at least 5 years of experience in compliance within an asset-management context, with strong knowledge of SEC regulations. Benefits include employer-paid health insurance, a competitive salary, and a 401(k) plan. This full-time position requires working in-office Tuesday through Thursday.

Qualifications

• Minimum of 5 years of relevant compliance experience, preferably at an asset-management firm.
• Solid knowledge of SEC rules and regulations applicable to investment advisers.
• Demonstrated experience reviewing and advising on marketing materials.
• Strong analytical skills with ability to evaluate performance data and client communications.

Responsibilities

• Serve as the compliance reviewer for marketing and investor communication materials.
• Partner with internal teams to review presentations and client-facing materials.
• Conduct compliance testing of expenses and investments to ensure adherence.
• Conduct periodic and ad-hoc compliance testing of expenses and investments.
• Assist in preparing and submitting regulatory filings with internal stakeholders.
• Research regulatory developments and assist in investigations as needed.
• Support policy and control improvements based on regulatory trends.
• Maintain compliance records and oversee documentation.

Skills

Compliance experience

Knowledge of SEC rules

Analytical skills

Communication materials review

Client communications

Job description

Compliance Officer – Marketing & Testing

We are an SEC‑registered investment adviser firm providing discretionary investment management services to prominent families, foundations, and global institutions. We are seeking a motivated and detail‑oriented Compliance Officer to join our Compliance team. This role will focus on the review of marketing and advertising materials, compliance testing, regulatory filings, investigative research, records management, and other ad‑hoc compliance responsibilities. The position is based in Fort Worth, TX, with an expectation of working in the office Tuesday through Thursday.

Responsibilities

• Serve as the compliance reviewer for marketing, advertising and investor communication materials, ensuring compliance with SEC Marketing Rule 206(4)-1 and other applicable regulations.
• Partner with investor relations, analytics and other internal teams to review and approve presentations, fact sheets, website content and other client‑facing materials.
• Provide practical guidance and training to business teams on regulatory considerations in marketing and advertising.
• Conduct periodic and ad‑hoc compliance testing of expenses, investment allocations, trading, etc., to ensure adherence to client mandates and firm policies.
• Assist in preparing and submitting required regulatory filings, coordinating with internal stakeholders to ensure accuracy and timeliness.
• Perform targeted research on regulatory developments and assist in compliance investigations as needed.
• Support enhancements to policies, procedures and controls based on emerging regulatory trends and firm priorities.
• Assist with records management, including retention, organization and oversight of compliance‑related documentation.
• Collaborate with Compliance and other functional teams on ad‑hoc projects.
• Contribute to fostering a strong culture of compliance across the firm.

Qualifications

• Minimum of 5 years of relevant compliance experience, preferably at an asset‑management firm with a focus on private funds.
• Solid knowledge of SEC rules and regulations applicable to investment advisers, especially the Marketing Rule.
• Demonstrated experience reviewing and advising on marketing, advertising and client communication materials.
• Strong analytical skills with the ability to evaluate performance information, track‑record presentations and other complex data used in marketing and client communication.

Benefits

• Employer‑paid medical, dental, vision insurance for employee and dependents.
• Employer‑paid life, AD&DD and disability insurance.
• Competitive base salary and discretionary bonus commensurate with experience and demonstrated skills.
• 401(k) plan with employer profit‑sharing contribution.

Seniority Level

• Mid‑Senior level

Employment Type

• Full‑time

Job Function

• Legal
• Capital Markets

Location: Fort Worth, TX. Work schedule: office Tuesday‑Thursday.