Senior Compliance Officer, Marketing & Communications Compliance

At Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest.  We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we value intellectual curiosity and uniqueness of thought.  Inclusion is embedded in the very fabric of our culture of collaboration and openness.

We understand that a job description only tells one part of a broader story, and Harris is seeking dynamic candidates who can add to our best-in-class environment. We recognize that qualifications can be gained through both traditional and non-traditional paths, and we are committed to considering candidates who possess the potential to be excellent in this role regardless of prior experiences.

_Therefore we encourage ALL interested individuals to submit their applications, even if they do not meet every requirement outlined in the job description._

The Position

Reporting to the Head of Testing and Controls, the Senior Compliance Officer will lead the firm's marketing compliance review function, providing regulatory oversight, guidance, and approvals for marketing materials and external communications across Harris Oakmark's investment advisory business, including separately managed accounts, mutual funds, and exchange-traded funds.  The successful candidate will serve as a subject matter expert on investment adviser and investment company marketing regulations, including the SEC Marketing Rule, and work closely with Marketing, Distribution, Legal, and other business partners to facilitate effective, timely, and compliant marketing initiatives.

This role combines hands-on marketing review responsibilities with broader ownership of the firm's marketing compliance processes, policies, and controls.  The individual will be expected to identify opportunities to improve the efficiency, consistency, and scalability of the marketing review function, including through the effective use of technology and workflow enhancements.  The ideal candidate will bring strong regulatory expertise, sound judgment, a collaborative and solutions-oriented approach, and the ability to balance regulatory requirements with the firm's business objectives.

Responsibilities

_Marketing Review and Regulatory Oversight_

• Lead the review and approval of marketing materials and external communications across the firm's investment advisory business, including separately managed accounts, mutual funds, ETFs, and institutional and intermediary distribution channels.
• Review marketing materials, including presentations, pitch books, fact sheets, performance reports, investment commentary, thought leadership, websites, social media, webinars, press releases, and other client-facing communications.
• Serve as a subject matter expert on the SEC Marketing Rule (Rule 206(4)-1), applicable Investment Company Act advertising requirements, and other relevant SEC and ...

Lorem ipsum dolor sit amet, consectetur adipiscing elit. Sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat. Duis aute irure dolor in reprehenderit in voluptate velit esse cillum dolore eu fugiat nulla pariatur. Excepteur sint occaecat cupidatat non proident, sunt in culpa qui officia deserunt mollit anim id est laborum.

Sed ut perspiciatis unde omnis iste natus error sit voluptatem accusantium doloremque laudantium, totam rem aperiam, eaque ipsa quae ab illo inventore veritatis.