Job Description
We are seeking an experienced, highly skilled Broker Dealer Compliance professional to be responsible for supporting the broker dealer compliance requirements and serving as a second supervisory principal. Primary duties include reviews of advertising and sales materials and other business communications related to the Dodge & Cox Funds, monitoring and supervising the activities of registered representatives of the firm, and overseeing the registration and maintenance of registered representative licenses. The ideal candidate for this role must consistently demonstrate a comprehensive understanding of FINRA and SEC rules and regulations as it relates to the advertising and marketing of mutual funds. Additionally, the Senior Compliance Analyst will coordinate marketing review feedback from the third-party broker dealer.
The Senior Broker Dealer Compliance Analyst will report directly to the Dodge & Cox Head of Broker Dealer Compliance.
Primary Responsibilities - Review mutual fund marketing material for compliance with FINRA and SEC rules and regulations and Dodge & Cox's policies and procedures
- Ensure that all modifications to our marketing material suggested by the broker dealer or FINRA have been incorporated in our final materials
- Conduct electronic communication monitoring
- Perform office inspections as needed
- Maintain productive relationship with and provide notification, compliance reporting, and audit materials to the third-party broker-dealer
- Conduct due diligence of third-party service providers both onsite and remotely
- Assist in the preparation of materials for the mutual funds Board, and other related tasks
- Oversee registered representatives and licensing requirements, including Identifying and onboarding new personnel, and monitoring activities of registered and non-registered personnel
- Responsible for administration of Gifts and Entertainment provisions of both Investment Adviser and Broker Dealer Codes of Ethics
- Assist with the firm compliance testing program and compliance policies updates
- Assist in implementation of new regulatory requirements and execution of business initiatives
- Keep abreast of regulatory and industry developments
- Assist with compliance issues affecting non-US offices as needed
- Other tasks related to mutual fund distribution oversight
Qualifications Dodge & Cox targets candidates with high levels of academic and professional achievement and leadership ability.
- Four year college degree required
- Current FINRA Series 63 and 24 or 26 licenses and the prerequisite registrations required
- Minimum of five + years in mutual fund advertising/marketing/sales material review
- Strong, fundamental understanding of mutual funds and the FINRA and SEC rules especially those related to marketing practices
- Demonstrated ability to analyze, communicate, and apply regulatory rules
- Experience conducting compliance reviews of electronic correspondence (email); knowledge of SMARSH email archival system a plus
- Knowledge of systems used for Code of Ethics monitoring and reporting
- Detail oriented with strong sense of ownership and responsibility for compliance
- Ability to prioritize and work effectively under pressure to meet tight quarterly deadlines
- Creative problem solving skills; ability to generate creative alternatives to identified issues while ensuring strong controls and compliance
- Ability to review complex materials, clearly communicate required edits and corresponding regulatory framework
- Excellent written and verbal communication skills
- Ability to work effectively as part of a team and foster the strong culture of compliance
Requirements: - Dodge & Cox operates in a 4 and 1 Hybrid model. All employees are required to be in their assigned office as noted in the job posting Monday - Thursday each week, with the option to work remotely on Friday. This policy is subject to change.
The salary range for this position is $120k - $150k. The listed pay scale denotes only the pay range of the base salary and does not include discretionary bonus compensation, which may make up an important portion of the total remuneration. Dodge & Cox encourages applicants to consider the value of the many competitive benefits it offers, including coverage of 100% of all healthcare premiums for employees and their families and fully funding a retirement plan at 25% of the total compensation up to the IRS Defined Contribution limit (See IRC 415 for current limits). Dodge & Cox also provides additional benefits such as commuter, health & wellness, backup care, matching gift, employee assistance, and life and disability insurance. The listed pay scale reflects the base salary Dodge & Cox reasonably expects to pay for this position and is not a reflection of the highest and lowest base salary of any current Dodge & Cox employee. Actual base salary will be based on factors such as the candidate's prior relevant experience (including within and external to Dodge & Cox, as applicable), education, skills, and knowledge.
The job description above is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee. It is the Company's policy to provide equal opportunity to all persons without regard to race, color, religion, sex, pregnancy, marital or domestic partner status, sexual orientation, gender identity or expression, age, ancestry, national origin, disability, or medical condition, as defined in state and federal laws. This policy covers all aspects of employment including, but not limited to, recruitment, selection, training, promotion, transfer, compensation, demotion, and termination. By applying for a position with Dodge & Cox, you acknowledge that you have read our EEO Policy
All Dodge & Cox employees must adhere to the Firm's security policies and Code of Ethics. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. Dodge & Cox
Job Tags
Remote job,