Head of Distribution & Marketing Compliance

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 multi-asset 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 40% of our dividends 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 life-threatening 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

The Head of Distribution & Marketing Compliance is responsible for the oversight of regulatory compliance for the United States and Asia Pacific including SEC FINRA SFC and ASIC with an emphasis on sales marketing and Code of Ethics. This position reports to the Chief Compliance Officer and will manage the teams responsible for implementation of the Broker Dealer Transfer Agency Retail Registered Investment Advisor Asia Pacific and corporate compliance programs.

This role reports to the Chief Compliance Officer.

This hybrid position will be based out of our Kansas City office.

This position is not eligible for visa sponsorship. Applicants must be authorized to work in the U.S. without visa sponsorship now or in the future.

How You Will Make an Impact

• Support the Chief Compliance Officer and senior management in embedding a strong compliance culture confirming effective execution of compliance programs initiatives and priorities.
• Provide leadership and oversight for issues surrounding Broker-Dealer Transfer Agency and corporate compliance activities including company programs such as protection of customer privacy retaining business records anti-money laundering and information security.
• Oversee the compliance framework in the Hong Kong and Sydney offices.
• Confirm the firms compliance policies (and changes to such policies) are effectively communicated and understood by employees relevant partners and clients.
• Provide compliance expertise to responsibly manage risks associated with artificial intelligence collaboration tools and other emerging technologies.
• Stay current on relevant regulatory requirements and analyze regulatory changes assessing their impact on the firm and provide clear actionable guidance.
• Conduct business practice reviews and investigate sales practice concerns as needed.
• Work with the Chief Compliance Officer and legal in responding to regulatory inquiries and examinations confirming timely and appropriate resolution of compliance matters.
• Develop strong consultative working relationships with business partners to help them to achieve their business objectives while in a manner that upholds compliance and enhances the firms competitive position.
• Lead employee education on compliance-related matters.
• Lead and develop compliance staff responsible for monitoring compliance adherence to legal and regulatory requirements including marketing compliance broker-dealer compliance and Code of Ethics.
• Identify evaluate and leverage technological solutions to streamline compliance processes and enhance productivity.

What You Bring to the Team (Required)

• Deep knowledge of investment products and distribution practices including strong expertise in the Investment Advisors Act of 1940 FINRA Rules and other applicable US regulatory requirements; familiarity with global regulations (e.g. Hong Kong SFC Australian ASIC) preferred.
• Demonstrated ability to interpret and apply regulatory changes assessing business impact and providing clear practical guidance.
• Proven experience developing firmwide compliance policies procedures and control frameworks that align with regulatory expectations and business strategy.
• Strong track record leading the implementation of policy process or regulatory changes across complex or distributed organizations.
• Leadership experience managing compliance teams preferably with direct reports that include managers and senior professionals.
• Experience leveraging technology and processimprovement tools to enhance compliance oversight monitoring and efficiency (preferred or required based on role expectations).
• Exceptional interpersonal skills with the ability to build trust credibility and collaborative working relationships across all levels of the organization.
• Highly motivated intellectually curious selfstarter with the ability to lead motivate and develop a high-performing team of compliance professionals.
• Openminded logical determined and highly ethical.
• Proven skills in negotiating influencing and collaborating with others in the decisionmaking process across all levels of the organization.
• Critical thinking and analytical skills with the ability to assess complex issues and provide sound recommendations.
• Strong judgment and business acumen balancing regulatory expectations with practical business considerations.
• Ability to manage multiple priorities in a fastpaced evolving environment delivering highquality outcomes within tight timelines.
• Demonstrated ability to challenge develop and motivate employees through regular feedback coaching and performance management.
• Excellent communication skills both oral and written. Should have the ability and experience to draft clear and professional correspondence policies and procedures and other documents of both legal and business nature. Must be able to correspond with regulators.
• 7 or more years of related experience in the financial industry.
• Bachelors degree in a related field or an equivalent combination of education and work experience.
• S7 S24 S65 or equivalent preferred but not required if willing to obtain at a later date.
• Demonstrates the American Century Investments Winning Behaviors: Client Focused Courageous and Accountable Collaborative Curious and Adaptable Competitively Driven.

The above statements are not intended to be a complete list of all responsibilities duties and skills required.

What We Offer

• Competitive compensation package with bonus plan
• Generous PTO and competitive benefits
• 401k with 5% company match plus annual performance-based discretionary contribution
• Tuition reimbursement formal mentorship program live and online learning

Learn more about our benefits and perks.

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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