Compliance Officer: Marketing & Regulatory Oversight

Sterling Capital Management LLC; Charlotte (NC); Sur place; USD 120 000 - 170 000; Plein temps

Résumé du poste

Sterling Capital Management LLC in Charlotte, NC seeks a Compliance Officer to support the firm’s compliance program, including risk assessments, policies, and internal controls. You will interact with Legal, Marketing, Investments, and Operations to translate regulatory guidance into practical procedures.

The role emphasizes reviewing marketing materials for SEC Marketing Rule compliance, FINRA advertising standards, and ongoing compliance testing, with a strong focus on internal controls and

Qualifications

• Bachelor’s degree or equivalent required.
• Minimum five years of compliance experience within a registered investment adviser or similar firm.
• Experience reviewing marketing materials for SEC Marketing Rule compliance and FINRA advertising standards.
• Familiar with compliance monitoring, testing, and risk assessments.

Responsabilités

• Review and approve marketing materials and client communications for regulatory compliance.
• Provide practical compliance guidance to marketing, sales, and client service teams.
• Support Code of Ethics program including personal trading reviews and certifications.
• Maintain and enhance compliance policies, procedures, and internal controls.
• Participate in risk assessments, monitoring, testing, and regulatory examinations.

Connaissances

Analytical thinking

Communication skills

Attention to detail

Problem solving

Organizational skills

Independence

Cross-functional teamwork

Regulatory knowledge

SEC Marketing Rule

Formation

Bachelor’s degree or equivalent

Outils

Marketing review systems

Compliance monitoring systems

Description du poste

Sterling Capital Management LLC in Charlotte, NC seeks a Compliance Officer to support the firm’s compliance program, including risk assessments, policies, and internal controls. You will interact with Legal, Marketing, Investments, and Operations to translate regulatory guidance into practical procedures.

The role emphasizes reviewing marketing materials for SEC Marketing Rule compliance, FINRA advertising standards, and ongoing compliance testing, with a strong focus on internal controls and