Compliance Lead

I can be myself at work.

You are more than a job title. We want you to feel comfortable doing great work and bringing your best, authentic self to everything you do. We value your talents, traditions, and uniqueness—and we’re committed to fostering a strong sense of belonging in a respectful workplace. We intentionally seek diverse perspectives, experiences, and backgrounds, investing in a culture designed to celebrate differences.

We believe that belonging leads to better outcomes and a stronger community of associates united by our mission. At Capital, we live our core values every day:
Integrity, Client Focus, Diverse Perspectives, Long-Term Thinking, and Community.

You want to feel recognized r performance will be reviewed annually, and your compensation will be designed to motivate and reward the value that you provide. You’ll receive a competitive salary, bonuses and benefits. Your company-funded retirement contribution will factor in salary and variable pay, including bonuses.

You bring unique goals and interests to your job and your life. Whether you’re raising a family, you’re passionate about where you volunteer, or you want to explore different career paths, we’ll give you the resources that can set you up for success. Enjoy generous time-away and health benefits from day one, with the opportunity for flexible work options. Receive 2-for-1 matching gifts for your charitable contributions and the opportunity to secure annual grants for the organizations you love.

Access on-demand professional development resources that allow you to hone existing skills and learn new ones.

As a Compliance Lead within our sales literature review team in Legal & Compliance, you will provide compliance oversight and review of marketing materials for retail and institutional investors in various investment vehicles, including ETFs, mutual funds, alternative investments, separately managed accounts, and collective investment trusts. You will work with global teams of highly experienced lawyers and compliance and risk professionals who work collaboratively to guide business decisions that make an impact in our highly regulated environment.

Every day, you will provide guidance to internal stakeholders on the applicability of rules and regulatory requirements, internal guidelines and disclosure standards, and other risk related issues when reviewing communication materials.

To thrive in this role, you’re experienced in reviewing marketing communications, you enjoy providing necessary guidance to writers and others, and you are passionate about staying informed about advertising and sales literature regulatory policies.

You have in depth knowledge of various investment vehicles including ETFs, mutual funds, alternative investments, separate accounts, SMAs and CITs, and experience with the regulatory framework applicable to marketing communications used by broker/dealers and RIAs to offer and promote the vehicles. You’re well versed in the rules governing securities advertising and have detailed knowledge of investment and economic concepts. You’re comfortable acting as a subject matter expert with marketing department associates and providing guidance on applicable regulatory requirements.

You have experience with the applicable advertising rules (e.g., SEC Marketing Rule, FINRA 2210 and 2212, SEC Rule 482, etc.) related to the implementation of required policies and procedures as well as application of the rules to advertisements.

You're able to apply critical thinking and sound regulatory judgment when evaluating recordkeeping requirements for marketing…