Thornburg Investment Management · 1 day ago
Head of Regulatory
Santa Fe, NM
Full-time
Hybrid
Director/Executive
10+ years expThornburg Investment Management is seeking a Head of Regulatory to serve as the senior authority on regulatory matters. This role involves providing strategic regulatory leadership and legal guidance on various investment products while collaborating with the legal team to support new product initiatives.
Financial Services
Responsibilities
Provide strategic regulatory leadership spanning US investment product regulations
Provide legal and regulatory guidance on mutual funds, ETFs, interval funds and other registered products
Advise and assist with annual updates to the firm’s disclosure documents
Manage and oversee conflicts across the firm, create conflicts matrix and assist the Legal and Compliance teams with questions regarding conflicts of interest
Serve as primary liaison with compliance team on registered investment companies, registered funds and other products
Provide legal advice regarding regulations impacting regulated products including but not limited to mutual funds, closed end funds, ETFs, interval funds, etc
Review all advisor reporting for mutual funds, closed end fund and ETF fund board and committee meetings and act as lead legal contact
Responsible for review of revenue-sharing, distribution and sales agreements for registered investment products
Work with the head of product and other members of the legal team with respect to new product initiatives
Cross functional collaboration with investment, legal and operations teams
Perform other job duties assigned as necessary
Qualification
Required
Juris Doctorate or Master of Laws degree from accredited law school
Membership in good standing in at least one state bar
Minimum of 10 years of regulatory legal experience, ideally at an asset management firm, broker-dealer, or regulatory agency
Demonstrated expertise of the Investment Company Act of 1940, the Investment Advisers Act of 1940, with experience applying both to complex investment structures and products
Excellent communication and interpersonal skills, with the ability to collaborate effectively with cross-functional teams and collaborate with legal, investment, product and operations teams
Demonstrated experience with regulatory agencies
Sound judgment and strategic thinking with a keen attention to detail
Willingness to address a range of tasks with dedication, focus, humility and optimism
Commitment to ongoing professional development, including participation in industry conferences and training
Strong communication skills with stakeholders at all levels
Strong analytical and problem-solving skills with the ability to assess complex legal issues and develop practical solutions
Strong leadership and collaborative qualities and a proactive, solutions-oriented approach
Preferred
Experience with EU/UK regulatory frameworks (e.g., UCITS, MiFID II, AIFMD) preferred
Experience managing regulatory change and leveraging technology for compliance (e.g., data governance, recordkeeping systems) preferred
Benefits
Medical, dental, and vision coverage.
Employer 401(k) safe harbor and profit-sharing contributions.
Work/life programs such as flexible work arrangements, flexible paid time off, paid parental leave, employee assistance plan, commuter benefits, student loan repayment program, education reimbursement program
Community involvement opportunities.
Onsite cafeteria.
Onsite fitness center.
Referral Program.
Company
Thornburg Investment Management
Thornburg Investment Management have a clear mission to preserve and increase the real wealth of investors.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
N
Nimish S. Bhatt
Chief Financial Officer, Treasurer & Managing Director
Garrett Thornburg
Founder and Chairman
Recent News
2025-10-15
Institutional Investor
2025-09-30
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