Compliance Consultant - Financial Marketing
Compliance Consultant - Financial Marketing
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$ 110000 - 130000
1 Vacancy
Job Description
About Us
American Century Investments is a leading global asset manager with over 65 years of experience helping a broad base of clients achieve their financial goals. Our expertise spans global equities and fixed income multiasset strategies ETFs and private investments.
Privately controlled and independent we focus solely on investment management. But theres an unexpected side to us too. We direct over 40 of our profits every yearmore than $2 billion since 2000to the Stowers Institute for Medical Research. Our ongoing financial support drives the Institutes breakthrough work and mission of defeating lifethreatening diseases like cancer and Alzheimers. So the better we do for our clients the more we can do for everyone.
All 1400 of us across the globe are inspired every day by the unique difference our hard work can make in so many lives. It shows in the curiosity we bring to every initiative the deep relationships we build with our clients and the way we treat each other in the hallway. If youre excited to learn more about us we cant wait to learn more about you.
Role Summary
Were seeking an exceptionally skilled Compliance Consultant to join our worldclass Marketing Compliance Team in a fulltime inhouse capacity. You will review analyze and provide guidance and approval for communication materials intended for use with retail intermediary institutional and nonUS audiences. Your role ensures flawless compliance with regulatory requirements internal guidelines/policies and riskrelated issues. As a crucial team member you will review diverse public communications including printed materials presentations social media videos web pages and email campaigns. In addition the consultant may be responsible for filing material with FINRA if applicable. Collaboration with marketing experts and the Legal Department is key to your success!
This hybrid position will be based out of our Kansas City MO or New York City NY office.
How You Will Make an Impact
- Reviewing a robust number of marketing materials promoting the firms products and services to ensure they meet regulatory requirements.
- Working with business partners to provide regulatory guidance with the goal of producing strong effective and compliant communications.
- Proactively staying current with applicable securities laws rules regulations and guidance related to communications.
- Assisting in developing and conducting training for marketing communications public relations social media and electronic content teams to enhance knowledge of compliance requirements.
- Interacting collaboratively with business project teams investment professionals legal counsel and team members.
- Assisting with the timely and accurate filing of marketing materials with FINRA if applicable.
What You Bring to the Team
- Bachelors degree in a related field and relevant work experience with mutual fund and advisory product marketing materials brokerdealer regulation compliance or legal.
- Proven ability to understand and communicate effectively about technical complex compliance standards and policies.
- FINRA Series 7 and 24 licenses required. Alternatively must be willing to complete and maintain such licenses.
- Interest in and comfort with emerging communication technology.
- Outstanding organizational skills with the ability to prioritize and handle several tasks make independent judgments and be diligent in a fastpaced timesensitive environment.
- Ability to work independently and as part of a highfunctioning collaborative team of compliance professionals.
- Excellent writing and editorial skills.
- Ability to interpret understand and apply rules and regulations applicable to the SEC GIPS FINRA MSRB and internal guidelines.
- Strong working knowledge of the financial industry; investment and economic concepts/trends; and applicable regulatory standards.
- Effective analytical reasoning good personal/business judgment problemsolving skills and risk assessment abilities.
- Ability to work well with a team have a strong work ethic and display integrity.
- Innovative and collaborative with the ability to build credibility with business partners and team members.
Additional Assets
- 38 years of applicable experience in communications review in the financial services industry or equivalent experience.
- Comprehensive understanding and experience in the financial industry with marketing/advertising compliance and dedication to policy and process controls related to marketing compliance.
- Specialized regulatory compliance knowledge relevant to securities marketing (e.g. FINRA rules SEC Rules GIPS requirements Brokerage 529 Savings Plans or NonUS Global Marketing).
- Advanced degree or other professional certification is a plus.
What We Offer
- Competitive compensation package with bonus plan
- Generous PTO and competitive benefits
- 401k with 5 company match plus annual performancebased discretionary contribution
- Tuition reimbursement formal mentorship program live and online learning
Learn more about our benefits and perks.
For New York based candidates the salary range for this role is $110000 to $130000. Actual offers are based on various factors including but not limited to a candidates location skills experience and relevant education and/or training. This position is eligible for cash incentive providing the potential to earn more.
Employees are required to be in the office on a scheduled frequency. Adherence to this schedule is essential to fulfilling the expectations of the role.
American Century Investments is committed to complying with the Americans with Disabilities Act and all other applicable Equal Employment Opportunity laws and regulations. As such American Century strives to provide a reasonable accommodation to any qualified individual under the ADA to perform essential job functions.
We encourage people of all backgrounds to join us on our mission. If you require reasonable accommodation for any aspect of the recruitment process please send a request to All requests for accommodation will be addressed as confidentially as practicable.
American Century Investments believes all individuals are entitled to equal employment opportunity and advancement opportunities without regard to race religious creed color sex national origin ancestry physical disability mental disability medical condition genetic information marital status gender gender identity gender expression age for individuals forty years of age and older military and veteran status sexual orientation and any other basis protected by applicable federal state and local laws. ACI does not discriminate or adopt any policy that discriminates against an individual or any group of individuals on any of these bases.
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American Century Proprietary Holdings Inc. All rights reserved.
Required Experience:
Contract
Employment Type
Full-Time
