Chief Compliance Officer

Written By Ingrid Nordskog

Thornburg Investment Management

Location: Santa Fe, NM

Who Are We?

Thornburg is a global investment firm delivering on strategy for institutions, financial

professionals and investors worldwide. The privately held firm, founded in 1982, is an active,

high-conviction manager of fixed income, equities, and multi-asset solutions.

As an independent firm, Thornburg can take on a wide range of opportunities, explore ideas

thoroughly and work across strategies to deliver consistent risk-adjusted outperformance over

the long term. The firm attracts free-thinking professionals who are eager to pursue investment

outcomes beyond the confines of popular wisdom. From nimble operational capabilities to

principles and actions fitting of a global citizen, Thornburg’s world-class investment platform

and team are aligned on strategy to serve investors.

Primary Job Function:

The Chief Compliance Officer will lead and oversee Thornburg’s regulatory compliance and

enterprise risk management programs, ensuring adherence to regulatory requirements and

fostering a culture of compliance and ethical integrity across the organization.

Duties and Responsibilities:

• Manage the day-to-day implementation and operation of Thornburg’s compliance

programs across all business units, liaising daily with business leaders and other

stakeholders.

• Oversee monitoring, testing, and reporting results of the compliance efforts and provide

guidance on matters relating to compliance and risk management.

• Manage and coordinate all SEC examinations, including responding to information

requests on a timely basis.

• Provide/assist in oversight, advice, review, negotiation and revision for policies,

procedures, regulatory documents, matters concerning investment compliance, privacy,

security, and data management.

• Work with General Counsel to analyze regulatory and legal risks, opportunities, and

options and implement changes as appropriate related to the firm’s goals, mission, and

existing circumstances and how those may affect the overall corporate,      trust, and

investment fund legal structures of the investment management business and

enterprise.

• Manage the day-to-day implementation and operation of Thornburg’s enterprise risk

management program across all business units and product lines.

• Perform regulatory and other research when and as necessary to resolve issues and

 determine the appropriate course of action regarding a particular issue/case; draft

memorandum on regulatory issues or other research topics as needed; in cooperating

with the General Counsel, consult with outside counsel to develop regulatory and other

strategies and resolve issues; advise various departments on legal/regulatory issues –

lobbying laws, pay to play, etc.

• Regulatory filings, including Form ADV, Form D, Form 13G, Form 13H, Section 16 filings,

foreign regulatory security ownership filings.

• Maintain the adviser’s licenses and/or exemptions from licensing in foreign jurisdictions.

• Act as a member of various TIM Committees, including Best Execution, Valuation and

Pricing, Disclosure Controls, Liquidity Risk Management, and Enterprise Risk.

  • Prepare materials for TIM and for the Boards of Trustees of Thornburg’s registered

    investment companies, and present to same and/or their committees.

  • Oversee reviews of all institutional, private fund and registered investment company

    advertising.

  • Oversee compliance rules and their monitoring in the firm’s order management system

    (Bloomberg AIM).

  • Develop and maintain investment guidelines.

Requirements:

• Juris Doctorate - preferred.

• Minimum 10+ years in financial services.

• Series 7, 24 licenses - preferred.

• Advanced skill to independently identify and analyze compliance issues.

  • Strong critical thinking and problem-solving skills.

  • Ability to work with a sense of urgency to meet deadlines and address competing

    priorities.

  • Proficient skills with MS Office software.

  • Excellent communication and interpersonal skills.

  • Extensive investment company and registered investment adviser experience including

    exposure to and knowledge of 40 Act, Advisers Act, 33 Act, 34 Act, and SEC and FINRA

    regulations and familiarity with UCITS.

  • Demonstrated experience with Rules 38a-1 and 206(4)-7 testing, conducting risk

    assessments, updating Form ADV, as well as drafting policies and procedures.

Knowledge, Skills & Abilities:

• Communication Skills: Exceptional written and verbal communication skills are essential.

• Research & Update: Must stay regularly updated on industry norms and practices

Job Benefits:

  • Medical, Dental, 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


    Apply Here: https://recruiting.paylocity.com/Recruiting/Jobs/Details/2967760

Ingrid Nordskog
Next

Regulatory Administrator