AVP, Senior Compliance Associate – Marketing Calamos Investments

About Calamos

Calamos is a diversified, global asset and wealth management firm offering a wide range of innovative investment strategies. As one of the top liquid alternative asset managers in the world, Calamos maintains dedicated investment teams across all asset classes, with global research capabilities and access to specialized private and public markets. Calamos offers investment strategies and personal wealth management solutions through separately managed portfolios, mutual funds, ETFs, closed-end funds, private funds, and UCITS funds.

Clients include major corporations, pension funds, endowments, foundations, and individuals, as well as the financial advisors and consultants who serve them. Headquartered in the Chicago metropolitan area (with offices in both Naperville and Fulton Market in Chicago), the firm also maintains offices in New York, San Francisco, Milwaukee, Portland, and the Miami area.

• The AVP, Senior Compliance Associate – Marketing ensures that all marketing materials, social media communications, and advertising content comply with regulatory requirements, internal policies, and ethical standards. This role supports the firm’s risk management strategy by monitoring, reviewing, and approving content across digital platforms, and by following robust compliance procedures aligned with SEC, FINRA, CFTC, and NFA guidelines.
• The AVP, Senior Compliance Associate – Marketing is responsible for assisting in the administration of the Compliance Program for each of the regulated Calamos entities. This includes: ensuring compliance with applicable laws and regulations for all advertising, marketing, and social media activities, trade surveillance, controls testing, review of the firm’s policies and procedures as well as providing compliance support to the businesses.
• The individual will collaborate closely with colleagues in Marketing, Product, Legal, Operations, and assist with special projects and regulatory initiatives.

• Review and approve a high volume of marketing materials, including but not limited to social media posts, advertisements, fund presentations, websites, Due Diligence Requests and RFPs, videos, emerging digital media, internet and intranet sites, and mobile applications that promote thought leadership and the firm’s products and services. This will from time to time require compliance reviews during non-business hours.
• Review social media activity of business users to ensure compliance with internal policies and regulations; elevate exceptions and communicate remediation steps.
• Train business users on social media compliance and disclosure rules; provide ongoing support and guidance.
• Contributes to the implementation and testing of Compliance policies and procedures.
• Assists with reviewing Calamos and it’s affiliates’ marketing and sales literature to ensure compliance with the Financial Industry Regulatory Authority, Securities Exchange Commission, National Futures Association, and Commodity Futures Trading Commission requirements, as well as Global Investment Performance Standards and firm policies and procedures. Communicate required edits clearly and constructively, explaining the regulatory basis for changes to support effective and compliant communications.
• Ability to independently reason through rules and regulations, chat with Senior Management at times, including the CEO.
• Ability to reframe regulatory requirements as business opportunities, positioning Compliance as a value‑adding function that supports revenue generation and market expansion.
• Email review as assigned.
• Provides compliance guidance and advice to the business and control units on an ongoing basis. Interact efficiently with business project teams, investment professionals, and internal stakeholders.
• Assists in educating Calamos associates in regulatory compliance. Assist with compliance training on marketing policies, procedures, and best practices; respond to examination and audit requests from internal and external parties.
• Proactively participate in creating new policies and procedures in support of new business. This also includes identifying conflicts…