TCW · 23 hours ago
Marketing Compliance Broker/Dealer Officer
Los Angeles, CA
Full-time
Hybrid
Senior Level
$115K/yr - $150K/yr
6+ years expTCW is a global asset management organization with over 600 employees, seeking a Marketing Compliance Broker/Dealer Officer. This role involves reviewing marketing communications, supervising broker-dealer activities, and ensuring compliance with regulatory rules and guidelines.
Asset ManagementFinanceFinancial Services
Responsibilities
Have a strong understanding of relevant regulatory rules and guidelines regarding marketing and advertising, especially the SEC’s new marketing rule
Review marketing communications (including presentations, fact sheets, press releases, website and social media content, media appearances, webinar content, RFPs and other content) across numerous product lines, including registered and unregistered funds and segregated accounts, consistent with U.S. and international marketing rules and guidance
Collaborate with business partners across all investment teams, Legal, Global Marketing, Distribution and others to advise on content standards and provide guidance on U.S. and international marketing rules
Have a strong understanding of FINRA rules as they pertain to broker dealers, including rules regarding advertising and supervision of registered persons
Develop or modify policies and procedures and desktop guidance with respect to marketing and advertising, as well as updating Written Supervisory Procedures for the broker-dealer, in response to regulatory and/or business requirements
Prepare and conduct trainings for sales teams and other employee populations as appropriate
Attend industry conferences and webinars relevant to this position and general compliance topics
Effectively manage projects and other staff, as necessary
Qualification
Required
Bachelor's Degree and a minimum of 6+ years of relevant compliance related work experience
Solid understanding of the securities industry and the rules and regulatory requirements related to registered investment companies, registered investment advisers and broker-dealers, including FINRA and SEC rules regarding marketing and advertising
Prior marketing compliance experience pertaining to registered investment advisers, registered investment companies and various investment products
Prior experience with supervising registered persons and other broker-dealer requirements
Current FINRA Series 7 and Series 24 licenses
Preferred
Previous experience either as a paralegal or an attorney is a plus
Project management skills a plus
Additional FINRA licenses
Benefits
Eligible to be considered for an annual discretionary bonus.
Eligible for TCW’s comprehensive benefits package.
Company
TCW
TCW is a global asset manager with more than fifty years of experience across fixed income, equities, and alternatives.
501-1000 employees
H1B Sponsorship
TCW has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (7)
2024 (5)
2023 (2)
2022 (5)
2021 (4)
2020 (2)
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Nippon Life Insurance Company of Japan
2017-12-01Series Unknown
2012-08-08Acquired
Leadership Team
Bob Baxter
Senior Vice President
David D. Kim
Managing Director, Head of Japan
Recent News
2025-10-16
2025-06-14
Company data provided by crunchbase