Compliance Officer
About Rockefeller Capital Management:
Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London.The Firm oversees $133 billion in client assets as of March 31, 2024.
Position:
The Compliance Officer will be responsible for the review of communications, including marketing materials, monthly reports and commentaries, factsheets, brochures, presentations, videos, podcasts, websites, request for proposals, due diligence questionnaires and other materials for compliance with regulatory requirements (SEC Marketing Rule, FINRA 2210, Investment Company Act of 1940 and other rules and regulations) and the firm’s internal policies.The candidate must have strong communications skills and the ability to deliver accurate and clear guidance to business partners. The candidate must have an understanding of marketing rules related private funds (hedge funds, private equity funds, private credit funds).
Responsibilities:
- Coordinate with various departments and supervisory principals in order to provide timely responses
- Draft disclosures and maintain the firm’s disclosure library
- Develop and update marketing compliance policies and procedures in response to changes in regulations and business needs
- Conduct periodic training on the various marketing and advertising rules
- Develop and maintain a comprehensive understanding of relevant regulations, industry standards, and internal policies affecting marketing activities
- Analyzing cross border issues for the asset management division and scoping the impact of the regulatory developments
- Provide training and guidance to marketing teams on compliance requirements, best practices, and internal processes
- Work closely with marketing, legal, sales, and other departments to ensure cohesive and compliant marketing strategies
Qualifications:
- 5-7 years relevant experience
- Bachelors degree
- Previous experience working in Marketing Compliance
- Demonstrated compliance, supervision or legal experience with a broker-dealer or registered investment advisor required, knowledge of complex products is a plus
- Knowledge of the securities industry, from an investment product/service and compliance perspective
- Deadline-oriented and the ability to analyze matters appropriately
- Working knowledge and experience of FINRA rules and regulations, Investment Advisers Act of 1940, Investment Company Act of 1940;
Skills:
- Strong business judgment compliance skills
- Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner
- Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making
- Demonstrated ability to work effectively and cross-functionally with employees at all levels
- Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment
- Ability to work collaboratively and independently
- Excellent organizational skills and ability to handle multiple projects at one time
- Ability to analyze matters combined with the willingness and ability to perform routine tasks
- Skilled in Microsoft suite, including, Word, Excel, and PowerPoint and database experience
Compensation Range:
The anticipated base salary range for this role is $140,000 to $150,000. Base salary for the role will depend on several factors, including a candidate’s qualifications, skills, competencies, and experience, and may fall outside of the range shown.In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more. Visit careers.rockco.com to learn more about additional opportunities and benefits offerings.
Disclosure:
Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, “Rockefeller”) is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law (“protected characteristics”).
Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.