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Regulatory Compliance Officer id-3462

About the position

The Regulatory Compliance Officer at TCW Group, Inc. is a key role responsible for ensuring compliance with various regulatory requirements within a global asset management organization. This position involves reviewing marketing communications, supervising broker-dealer activities, conducting training for sales staff, and assisting with branch office inspections. The officer will report to the Chief Compliance Officer and will play a hands-on role in compliance tasks, contributing to the overall integrity and regulatory adherence of the firm.

Responsibilities

Review marketing communications and presentations for compliance with SEC, CFTC, FINRA, and other regulatory guidelines.Supervise broker-dealer activities, including conducting training for sales staff and assisting with branch office inspections.Develop or modify policies and procedures related to marketing and advertising in response to regulatory changes.Prepare and conduct training sessions for sales teams and other employees.Attend industry conferences and webinars to stay updated on compliance topics.Assist other Compliance Officers with general compliance matters as needed.Effectively manage projects and other staff as necessary.

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Requirements

  • Bachelor's Degree
  • 6+ years of relevant compliance-related work experience
  • Solid understanding of the securities industry and regulatory requirements related to registered investment companies and the Investment Company Act of 1940
  • Prior compliance experience with registered investment advisers, registered investment companies, and/or broker-dealers
  • Possess current Series 7 and Series 24 Licenses
  • Excellent interpersonal skills and ability to build strong relationships
  • Strong organizational and time management skills
  • Excellent written and verbal communication and presentation skills
  • Ability to comprehend complex regulations and apply them to practical use cases
  • Proficiency in Microsoft Office applications (Word, Excel, Outlook)

Nice-to-haves

  • Previous experience as a paralegal or attorney
  • Additional FINRA licenses
  • Subject matter expertise in specific compliance matters
  • Project management skills

Benefits

  • Comprehensive benefits package
  • Annual discretionary bonus eligibility.,
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