Compliance Officer - Marketing

Compliance Officer – Marketing & Testing

We are an SEC‑registered investment adviser firm providing discretionary investment management services to prominent families, foundations, and global institutions. We are seeking a motivated and detail‑oriented Compliance Officer to join our Compliance team. This role will focus on the review of marketing and advertising materials, compliance testing, regulatory filings, investigative research, records management, and other ad‑hoc compliance responsibilities. The position is based in Fort Worth, TX, with an expectation of working in the office Tuesday through Thursday.

• Serve as the compliance reviewer for marketing, advertising and investor communication materials, ensuring compliance with SEC Marketing Rule 206(4)-1 and other applicable regulations.
• Partner with investor relations, analytics and other internal teams to review and approve presentations, fact sheets, website content and other client‑facing materials.
• Provide practical guidance and training to business teams on regulatory considerations in marketing and advertising.
• Conduct periodic and ad‑hoc compliance testing of expenses, investment allocations, trading, etc., to ensure adherence to client mandates and firm policies.
• Assist in preparing and submitting required regulatory filings, coordinating with internal stakeholders to ensure accuracy and timeliness.
• Perform targeted research on regulatory developments and assist in compliance investigations as needed.
• Support enhancements to policies, procedures and controls based on emerging regulatory trends and firm priorities.
• Assist with records management, including retention, organization and oversight of compliance‑related documentation.
• Collaborate with Compliance and other functional teams on ad‑hoc projects.
• Contribute to fostering a strong culture of compliance across the firm.

• Minimum of 5 years of relevant compliance experience, preferably at an asset‑management firm with a focus on private funds.
• Solid knowledge of SEC rules and regulations applicable to investment advisers, especially the Marketing Rule.
• Demonstrated experience reviewing and advising on marketing, advertising and client communication materials.
• Strong analytical skills with the ability to evaluate performance information, track‑record presentations and other complex data used in marketing and client communication.

• Employer‑paid medical, dental, vision insurance for employee and dependents.
• Employer‑paid life, AD&DD and disability insurance.
• Competitive base salary and discretionary bonus commensurate with experience and demonstrated skills.
• 401(k) plan with employer profit‑sharing contribution.

• Mid‑Senior level

• Full‑time

• Legal
• Capital Markets

Location:

Fort Worth, TX.

Work schedule:

office Tuesday‑Thursday.