What are the responsibilities and job description for the Compliance Officer - Marketing position at Dagen?
Company Overview
An SEC-registered investment advisor firm providing discretionary investment management services and customized solutions to prominent families, foundations, and global institutions.
Compliance Officer - Marketing and Testing
We are seeking a motivated and detail-oriented Compliance Officer to join our Compliance team. This role will focus on the review of marketing and advertising materials, compliance testing, regulatory filings, investigative research, records management, and other ad hoc compliance responsibilities. The position is based in Fort Worth, TX, with an expectation of working in the office Tuesday through Thursday. The ideal candidate will have private fund marketing compliance experience, strong analytical skills to evaluate performance data and complex information, and excellent communication abilities.
Responsibilities:
Marketing Review and Oversight
- Serve as the compliance reviewer for marketing, advertising, and investor communication materials, ensuring compliance with SEC Marketing Rule 206(4)-1 and other applicable regulations.
- Partner with investor relations, analytics, and other internal teams to review and approve presentations, fact sheets, website content, and other client-facing materials.
- Provide practical guidance and training to business teams on regulatory considerations in marketing and advertising.
Compliance Testing
- Conduct periodic and ad hoc compliance testing of expenses, investment allocations, trading, etc, to ensure adherence to client mandates and firm policies.
Regulatory Filings
- Assist in preparing and submitting required regulatory filings, coordinating with internal stakeholders to ensure accuracy and timeliness.
Research and Investigations
- Perform targeted research on regulatory developments and assist in compliance investigations as needed.
- Support enhancements to policies, procedures, and controls based on emerging regulatory trends and firm priorities.
Other Compliance Responsibilities:
- Assist with records management, including retention, organization, and oversight of compliance-related documentation.
- Collaborate with Compliance and other functional teams on ad hoc projects./
- Contribute to fostering a strong culture of compliance across the firm.
Qualifications:
- Minimum of 5 years of relevant compliance experience, preferably at an asset management firm with a focus on private funds.
- Solid knowledge of SEC rules and regulations applicable to investment advisers, especially the Marketing Rule.
- Demonstrated experience reviewing and advising on marketing, advertising, and client communication materials.
- Strong analytical skills with the ability to evaluate performance information, track record presentations, and other complex data used in marketing and client.
Compensation & Benefits
- Employer-paid Medical, Dental, Vision Insurance for employee and dependents.
- Employer-paid Life, AD&D, and Disability Insurance.
- Hybrid/Remote Work Benefits.
- Competitive base salary and discretionary bonus commensurate with experience and demonstrated skills.
- 401K Plan with Employer Profit Sharing Contribution.