What are the responsibilities and job description for the Compliance Officer position at Alexander Chapman?
Our client, a global investment management platform is seeking a Compliance Officer to support its enterprise-wide compliance program, with a strong focus on review of U.S. marketing and investor-facing materials.
This role partners closely with senior leadership and investment teams, providing practical, business-focused regulatory guidance.
Responsibilities
- Serve as central reviewer of marketing materials: presentations, pitchbooks, fact sheets, case studies, website content, and other investor communications
- Ensure adherence to the Advisers Act, including the Marketing Rule, performance advertising, disclosures, and case study usage
- Maintain templates, disclosures, and documentation of the review process
- Track regulatory developments and translate them into actionable guidance
- Deliver training to internal teams on marketing compliance expectations
- Support Code of Ethics administration, personal trading reviews, conflicts monitoring, and watch/restricted list maintenance
- Assist with regulatory filings, exam readiness, compliance calendars, and broader initiatives
Requirements:
- Bachelor’s degree required; J.D. preferred
- 4-7 years’ investment management compliance experience
- Strong knowledge of the Advisers Act and Marketing Rule
- Experience reviewing marketing materials or supporting investor relations compliance
- Detail-oriented, strong writing skills, organized, proactive, and collaborative
Compensation Details:
$150,000 - $175,000 base
$170,000 - $200,000 total
Salary : $150,000 - $175,000