Marketing Compliance Specialist – SEC Rules & Training

Thornburg Investment; Santa Fe (NM); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Medical, dental, and vision coverage

401(k) matching and profit sharing

Flexible work arrangements

Paid parental leave

Employee assistance program

Job summary

Thornburg Investment is a global investment firm dedicated to delivering consistent risk‑adjusted returns. The Compliance Officer role focuses on review and oversight of marketing materials to ensure SEC compliance and other regulatory requirements.

As part of the Compliance team, you will guide cross-border marketing, support policy development, and participate in regulatory research. After obtaining FINRA Series 24, duties expand to fund product reviews.

Qualifications

• Bachelor’s degree required; JD or advanced degree a plus.
• 3–5 years of compliance experience in financial services, preferably with an investment adviser, broker-dealer, or fund complex.
• Experience reviewing marketing and advertising materials for SEC and/or FINRA requirements.

Responsibilities

• Review and approve marketing and advertising materials for compliance with SEC Marketing Rule and other regulations.
• Provide timely, practical compliance guidance to Marketing, Investment, Sales, and Client Service teams.
• Monitor regulatory developments and communicate changes to stakeholders.
• Assist with developing and revising marketing review policies and procedures.

Skills

Attention to detail

Communication skills

Collaboration

Time management

Integrity

Education

Bachelor's degree

JD or advanced degree

Tools

Microsoft Office

Compliance platforms

Job description

Thornburg Investment is a global investment firm dedicated to delivering consistent risk‑adjusted returns. The Compliance Officer role focuses on review and oversight of marketing materials to ensure SEC compliance and other regulatory requirements.

As part of the Compliance team, you will guide cross-border marketing, support policy development, and participate in regulatory research. After obtaining FINRA Series 24, duties expand to fund product reviews.