Marketing Compliance Officer — SEC Rules & Materials Review

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

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.

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.

Skills

Compliance experience

Knowledge of SEC rules

Analytical skills

Communication materials review

Job description

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.