American Century Investments · 11 hours ago
Head of Distribution & Marketing Compliance
Kansas City, Missouri
Full-time
Hybrid
Director/Executive
7+ years expAmerican Century Investments is a leading global asset manager focused on helping clients achieve their financial goals. The Head of Distribution & Marketing Compliance will oversee regulatory compliance across the United States and Asia Pacific, ensuring adherence to various regulations while managing compliance teams and initiatives.
Financial Services
No H1B
Responsibilities
Support the Chief Compliance Officer and senior management in embedding a strong compliance culture, confirming effective execution of compliance programs, initiatives and priorities
Provide leadership and oversight for issues surrounding Broker-Dealer, Transfer Agency and corporate compliance activities, including company programs, such as, protection of customer privacy, retaining business records, anti-money laundering and information security
Oversee the compliance framework in the Hong Kong and Sydney offices
Confirm the firm's compliance policies (and changes to such policies) are effectively communicated and understood by employees, relevant partners and clients
Provide compliance expertise to responsibly manage risks associated with artificial intelligence, collaboration tools, and other emerging technologies
Stay current on relevant regulatory requirements and analyze regulatory changes, assessing their impact on the firm and provide clear, actionable guidance
Conduct business practice reviews and investigate sales practice concerns as needed
Work with the Chief Compliance Officer and legal in responding to regulatory inquiries and examinations confirming timely and appropriate resolution of compliance matters
Develop strong consultative working relationships with business partners, to help them to achieve their business objectives, while in a manner that upholds compliance and enhances the firm’s competitive position
Lead employee education on compliance-related matters
Lead and develop compliance staff responsible for monitoring compliance adherence to legal and regulatory requirements, including marketing compliance, broker-dealer compliance and Code of Ethics
Identify, evaluate, and leverage technological solutions to streamline compliance processes and enhance productivity
Qualification
Required
Deep knowledge of investment products and distribution practices, including strong expertise in the Investment Advisors Act of 1940, FINRA Rules, and other applicable US regulatory requirements; familiarity with global regulations (e.g., Hong Kong SFC, Australian ASIC) preferred
Demonstrated ability to interpret and apply regulatory changes, assessing business impact and providing clear, practical guidance
Proven experience developing firm‑wide compliance policies, procedures, and control frameworks that align with regulatory expectations and business strategy
Strong track record leading the implementation of policy, process, or regulatory changes across complex or distributed organizations
Leadership experience managing compliance teams, preferably with direct reports that include managers and senior professionals
Experience leveraging technology and process‑improvement tools to enhance compliance oversight, monitoring, and efficiency (preferred or required based on role expectations)
Exceptional interpersonal skills, with the ability to build trust, credibility, and collaborative working relationships across all levels of the organization
Highly motivated, intellectually curious self‑starter with the ability to lead, motivate, and develop a high-performing team of compliance professionals
Open‑minded, logical, determined, and highly ethical
Proven skills in negotiating, influencing and collaborating with others in the decision‑making process across all levels of the organization
Critical thinking and analytical skills, with the ability to assess complex issues and provide sound recommendations
Strong judgment and business acumen, balancing regulatory expectations with practical business considerations
Ability to manage multiple priorities in a fast‑paced, evolving environment, delivering high‑quality outcomes within tight timelines
Demonstrated ability to challenge, develop, and motivate employees through regular feedback, coaching, and performance management
Excellent communication skills, both oral and written. Should have the ability and experience to draft clear and professional correspondence, policies and procedures and other documents of both legal and business nature. Must be able to correspond with regulators
7 or more years of related experience in the financial industry
Bachelor's degree in a related field or an equivalent combination of education and work experience
Demonstrates the American Century Investments Winning Behaviors: Client Focused, Courageous and Accountable, Collaborative, Curious and Adaptable, Competitively Driven
Preferred
Familiarity with global regulations (e.g., Hong Kong SFC, Australian ASIC)
Experience leveraging technology and process‑improvement tools to enhance compliance oversight, monitoring, and efficiency
S7, S24, S65 or equivalent preferred, but not required, if willing to obtain at a later date
Benefits
Competitive compensation package with bonus plan
Generous PTO and competitive benefits
401k with 5% company match plus annual performance-based discretionary contribution
Tuition reimbursement, formal mentorship program, live and online learning
Company
American Century Investments
American Century Investments an asset management company focused on delivering investment results.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Patricia Ribeiro
CIO
Recent News
PR Newswire
2025-12-10
The European Financial Review
2025-11-11
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