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 Regulatory Compliance, the Senior Compliance Officer of Marketing & Communications Compliance is responsible for oversight and support of the review and approvals for marketing materials and external communications under firm policies and applicable regulatory requirements. It is expected that this candidate will maintain the quality and consistency of marketing materials and advise on applicable compliance guidelines. This includes oversight for the Social Media and Electronic Communications programs.

A thought leader with deep broker-dealer and investment adviser marketing experience with a proven track record collaborating with a high-performing and fast-paced marketing department to advance the marketing capabilities and technologies that deliver through multiple marketing channels.

Responsibilities

• Engage with Marketing and business partners to review and approve marketing materials in accordance with compliance requirements, the firm's policies, and applicable regulatory regulations, including recommending and drafting updates/revisions as necessary
• Maintain the quality and consistency of marketing materials and advising on applicable compliance guidelines
• Work closely with Marketing and Legal, as well as financial professionals across the firm, to maintain the firm's standards for marketing efforts (e.g., emails, presentations, white papers, reports, conference/event collateral, bios, webinars, press releases, boilerplates, disclaimers, firm website, article reprints, etc.)
• Act as a subject matter expert regarding marketing compliance related firm policies and provide appropriate guidance and training to business partners
• Collaborate with Legal for projects needing escalation
• Develop and maintain compliance guidelines and remain current on developments to provide appropriate guidance and training to Marketing

Position Qualifications (Knowledge, Skills, Abilities)

• Bachelor's degree in business administration, finance or related field
• Ideally 10-15 years relevant work experience in the financial services industry (investment advisory, mutual funds, broker-dealer)
• Understanding of SEC and FINRA laws, regulations, and guidance, particularly as it relates to the investment advisory marketing activities, social media, and mutual funds
• Understanding of GIPS compliance and disclosure requirements
• Strong interpersonal skills and the ability to work with all levels of personnel with a high degree of integrity and maturity
• Strong verbal and written communication skills, with an ability to present ideas and information clearly, logically, and succinctly
• A proactive, hands-on, and collaborative attitude is essential, with a readiness to take ownership of specific initiatives
• Attention to detail, excellent organizational skills, with the ability to project manage multiple priorities simultaneously

Characteristics & Attributes

• High level of integrity and professionalism
• Excellent judgment in assessing potential compliance matters, the application of industry developments to the business and knowing when to seek independent advice and when to act independently
• Driven by collective success
• Desire to constantly improve status quo

Equal Employment Opportunity Policy StatementHarris Associates L.P. pursues a policy of equal opportunity in all areas of employment including recruitment, hiring, training, compensation, benefits, advancement, and treatment on the job. This means that Harris does not discriminate against employees, or qualified applicants, based on an individual's race, color, religion, creed, sex, age, national origin, physical disability, sexual orientation, trans-gender status, transsexual status, status as a veteran or disabled veteran, genetic information or for any other reason prohibited by law. Harris reserves the right to review publicly available information about applicants (i.e., via social networking sites), to the extent permissible under applicable law.

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