Marketing Compliance Broker/Dealer Officer Job Location(s) US-CA-Los Angeles Job ID 2024-2075 Category Legal/Compliance Department Compliance Type Regular Full-Time Position Summary The AVP/VP, Marketing Compliance Broker/Dealer Officer will report to the firm's Broker-Dealer Chief Compliance Officer and Head of the Marketing Compliance function and be responsible for assisting with : (i) reviewing marketing communications and presentations across all media types and for domestic and/or international use, as appropriate; and (ii) supervising the activities of the broker-dealer, including but not limited to, conducting trainings for sales staff, and assisting with branch office inspections. This is a hands-on position in the Compliance Department within a global asset management organization of over 600 employees. Essential Duties Have a strong understanding of relevant regulatory rules and guidelines regarding marketing and advertising, especially the SEC's new marketing rule; Review marketing communications (including presentations, fact sheets, press releases, website and social media content, media appearances, webinar content, RFPs and other content) across numerous product lines, including registered and unregistered funds and segregated accounts, consistent with U.S. and international marketing rules and guidance; Collaborate with business partners across all investment teams, Legal, Global Marketing, Distribution and others to advise on content standards and provide guidance on U.S. and international marketing rules; Have a strong understanding of FINRA rules as they pertain to broker dealers, including rules regarding advertising and supervision of registered persons; Develop or modify policies and procedures and desktop guidance with respect to marketing and advertising, as well as updating Written Supervisory Procedures for the broker-dealer, in response to regulatory and/or business requirements. Prepare and conduct trainings for sales teams and other employee populations as appropriate; Attend industry conferences and webinars relevant to this position and general compliance topics; Effectively manage projects and other staff, as necessary. Required Qualifications Bachelor's Degree and a minimum of 6+ years of relevant compliance related work experience. Solid understanding of the securities industry and the rules and regulatory requirements related to registered investment companies, registered investment advisers and broker-dealers, including FINRA and SEC rules regarding marketing and advertising. Prior marketing compliance experience pertaining to registered investment advisers, registered investment companies and various investment products; Prior experience with supervising registered persons and other broker-dealer requirements Current FINRA Series 7 and Series 24 licenses. Professional Skills Qualifications Excellent interpersonal skills; demonstrated success in building and maintaining strong internal and external relationships. Strong organizational and time management skills; ability to effectively identify and prioritize the most critical tasks. Excellent written and verbal communication and presentation skills and attention to detail. Continually improve processes by researching and implementing best practices. Keeping abreast of the changing regulatory and business landscape with an inquisitive mind. Exercise good judgment and maintain strict confidentiality. A team player with the ability and willingness to pitch in as needed in areas outside one's own core expertise. Ability to comprehend complex regulations and apply to practical use cases. Proficiency in Microsoft Office applications (Word, Excel, Outlook). Desired Qualifications Previous experience either as a paralegal or an attorney is a plus. Project management skills a plus Additional FINRA licenses. Estimated Compensation: Base Salary: For CA based position, the base salary range is $115K-$150K. This is an anticipated range and represents base salary only. Other Compensation : Eligible to be considered for an annual discretionary bonus. Benefits: Eligible for TCW's comprehensive benefits package. #LI-SW1 The TCW Group
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