Compliance Officer
5 days ago
Join The TCW Group, a global asset management organization with over 600 employees, as a Compliance Officer - Regulatory Expert. This hands-on role is responsible for ensuring adherence to various regulatory rules and guidelines.
Key Responsibilities:
- Develop and implement policies and procedures to address changing regulatory requirements.
- Conduct thorough reviews of marketing communications and presentations to ensure compliance with U.S. and international rules.
- Supervise the activities of the broker-dealer, including conducting trainings for sales staff and assisting with branch office inspections.
- Stay up-to-date on complex regulations and apply them to practical use cases.
Requirements:
- Bachelor's Degree in a relevant field with 6+ years of compliance-related work experience.
- Prior experience working with registered investment advisers, registered investment companies, and/or broker-dealers.
- Candidate must possess current Series 7 and Series 24 Licenses.
Preferred Qualifications:
- Previous experience as a paralegal or attorney is a plus.
- Additional FINRA licenses are beneficial.
- Subject matter expertise in specific compliance matters is desirable.
Compensation:
The estimated salary range for this position is $115K-$150K, based on the location in Los Angeles, California. Eligible candidates may also be considered for an annual discretionary bonus. In addition to a competitive base salary, The TCW Group offers a comprehensive benefits package, which can be found here.
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