Compliance Officer, Finance & Banking

Thornburg is a global investment firm delivering on strategy for institutions, financial professionals and investors worldwide. The privately held firm, founded in 1982, is an active, high-conviction manager of fixed income, equities, and multi-asset solutions.

As an independent firm, Thornburg can take on a wide range of opportunities, explore ideas thoroughly and work across strategies to deliver consistent risk-adjusted out performance over the long term. The firm attracts free-thinking professionals who are eager to pursue investment outcomes beyond the confines of popular wisdom. From nimble operational capabilities to principles and actions fitting of a global citizen, Thornburg’s world-class investment platform and team are aligned on strategy to serve investors.

The Compliance Officer supports Thornburg’s compliance program with a primary focus on the review and oversight of marketing and advertising materials, including thought leadership, institutional, investment advisory, and strategy and portfolio materials, for compliance with the SEC Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940) and other applicable requirements.

The role also provides guidance on cross-border marketing for specific products and strategies and supports the broader compliance program, including testing of policies and procedures, employee training, and regulatory research. Upon obtaining the FINRA Series 24 license, the role’s review responsibilities will expand to include registered fund and other fund products, such as mutual funds, ETFs, and UCITS.

• Review and approve marketing and advertising materials, including thought leadership, institutional, investment advisory, and strategy materials, for compliance with the SEC Marketing Rule and other applicable regulations; manage the review workflow and maintain required records.
• Partner with Marketing, Investment, Sales, and Client Service teams to provide timely, practical compliance guidance on materials and communications.
• Monitor regulatory developments, SEC guidance, examination priorities, and industry best practices related to investment adviser marketing, and communicate relevant changes to stakeholders.
• Assist with the development, implementation, and revision of marketing review policies and procedures in response to new legal requirements, regulatory guidance, or business changes.
• Support the International team on cross-border marketing matters, including requests from non-U.S. offices and research of jurisdiction-specific requirements.
• Coordinate and prepare Legal and Compliance responses to requests for proposals (RFPs) and due diligence questionnaires (DDQs).
• Assist with the implementation and testing of compliance policies and procedures, including supporting the annual review of the compliance program, and document results.
• Develop and deliver compliance training to employees on relevant topics.
• Assist with preparation for regulatory examinations and responses to regulatory requests, as directed.
• Conduct regulatory research and analysis as needed.
• Upon obtaining the Series 24 license, review and approve communications for registered fund and other fund products, including mutual funds, ETFs, and UCITS.
• Perform other job duties assigned as necessary.

• Strong attention to detail and sound judgment in interpreting and applying regulatory requirements.
• Excellent written and verbal communication skills, with the ability to explain compliance requirements clearly to non-compliance colleagues.
• Collaborative and service-oriented; works effectively in a team environment and builds strong relationships across departments.
• Ability to manage multiple priorities and meet…