Compliance Officer

Risk and Compliance Professional – Compliance Officer Location: Philadelphia Our client, a global investment management firm, is looking for a Risk and Compliance Professional to work on their Distribution Compliance team. This is a full-time, permanent position that will be a hybrid of working from home as well as in-person in the Philadelphia office. **NOT OPEN TO RELOCATION AT THIS TIME** Position Overview: We are seeking a dynamic and detail-oriented Risk and Compliance professional to join our team. This role focuses on distribution-compliance matters, particularly in marketing material review, broker-dealer regulatory compliance, cross-border distribution compliance, and anti-money laundering (AML). This position offers a clear path for growth into a senior Compliance Officer role. Key Responsibilities: Review marketing materials in accordance with policies and regulatory frameworks (SEC, FINRA, and other applicable regulations). Conduct email reviews for employees of the investment adviser and broker-dealer. Assist in the coordination and management of broker-dealer and registered representative compliance. Oversee cross-border distribution compliance, working closely with global colleagues. Contribute to regulatory responsibilities and obligations, including analyzing existing, proposed, and new regulations and testing of the broker-dealer compliance program. Ensure compliance with local and Group AML policies, including customer due diligence and KYC requirements, focusing on US and Cayman Island regulations. Participate in ad hoc projects within Risk & Compliance. Qualifications: Bachelor's Degree required. 2-4+ years of experience in a compliance role in the investment management industry. SIE, Series 7 and Series 24 preferred.