Marketing Compliance Officer – Broker/Dealer; Hybrid
Job in
Los Angeles, Los Angeles County, California, 90079, USA
Listed on 2026-03-01
Listing for:
The TCW Group, Inc.
Full Time
position Listed on 2026-03-01
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Crime, Financial Services
Job Description & How to Apply Below
Marketing Compliance Officer – Broker/Dealer (Hybrid) The TCW Group, Inc.
• Los Angeles, CA, United States
A financial services company in Los Angeles seeks an experienced AVP / VP, Marketing Compliance Broker / Dealer Officer to oversee marketing compliance and regulatory training. The ideal candidate will have over 6 years of relevant experience, a strong understanding of SEC and FINRA rules, and excellent communication skills. This role offers a salary range of $115K-$150K and a comprehensive benefits package.
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