Compliance Officer - Marketing Review

At BBH, Partnership is more than a form of ownership-it's our approach to business and relationships. We know that supporting your professional and personal goals is the best way to help our clients and advance our business. We take that responsibility seriously. With a 200-year legacy and a shared passion for what's next, this is the right place to build a fulfilling career.

Join us as a Compliance Officer-Marketing Review

Brown Brothers Harriman is currently recruiting a Compliance Officer-Marketing Review to join our Compliance Team. In this role you will be responsible for the review and approval of firm public communications across the Investor Services, Investment Management and Private Banking lines of business. As a senior member of the Public Communications Compliance Group, the Compliance Officer must have an understanding of the regulations and laws that govern firm communications and must have experience in reviewing complex investment advisory communications. Alternatively, the Compliance Officer should have background and familiarity with regulatory compliance matters relating to the asset management business. They must have the ability to take ownership of the public communications process and work independently. The Compliance Officer is responsible for independently reviewing firm materials, including, but not limited to, website material, client or prospect presentations, RFPs and due diligence questionnaires. They are also responsible for identifying and analyzing communications-related regulatory developments, assessing the firm's public communications controls and enhancing them as appropriate, and providing advice and expertise to partners/Senior Management on communications-related matters.

Some of your key responsibilities include:

• Independently review and approve firm public communications for compliance with applicable laws, regulations, and best practices
• Effectively communicate advice to Partners/Sr Management
• Independently manage the prompt/effective review of public communications including coordination with global compliance officers and legal (if necessary)
• Provide comments and expertise to Partners/Senior Management
• Keep abreast of public communications-related regulatory developments and enhance Public Communications Policy as appropriate
• Keep abreast of industry best practices by industry benchmarking and financial industry committee memberships
• Train business on rules and regulations relating to firm communications
• Provide expertise in regulatory requirements that apply to marketing and advertising, specifically, a deep understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA advertising rules. Other regulatory compliance experience in the asset management business will be considered

Qualifications:

• Bachelor's, MBA, or JD degree with at least 5-8 years of marketing review or other relevant regulatory compliance experience
• Understanding of advertising rules and regulations, including but not limited to the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA Advertising Rules
• Expert in advertising requirements for marketing mutual funds, private funds, investment advisory, and custody services
• Other relevant regulatory compliance experience relating to the asset management business
• Ability to independently and effectively review complex investment advisory communications, using critical thinking skills
• Demonstrated ability to develop practical solutions that meet business needs while remaining compliant with applicable laws, regulations, and industry best practices
• Proven ability to communicate effectively with Partners/Senior Management
• Ability to prioritize multiple tasks based on balancing business need and regulatory requirements
• Strong written and verbal communication skills
• Proactive approach with a demonstrated ability to work independently and take ownership of the public communications process

What We Offer :

• A collaborative environment that enables you to step outside your role to add value wherever you can
• Direct access to clients, information and experts across all business areas around the world
• Opportunities to grow your expertise, take on new challenges, and reinvent yourself-without leaving the firm
• A culture of inclusion that values each employee's unique perspective
• High-quality benefits program emphasizing good health, financial security, and peace of mind
• Rewarding work with the flexibility to enjoy personal and family experiences at every career stage
• Volunteer opportunities to give back to your community and help transform the lives of others

Salary Range

NY: $110,000-$150,000 plus target annual bonus

BBH and its affiliates' compensation program includes base salary, discretionary bonuses, and profit-sharing. The anticipated base salary range(s) shown above are only for the indicated location(s) and may differ in other locations due to cost of living and labor considerations. Base salaries may vary based on factors such as skill, experience and qualification for the role. BBH's total rewards package recognizes your contributions with more than just a paycheck-providing you with benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off, our programs support your overall well-being.


We value diverse experiences. We value diverse experiences and transferrable skillsets. If your career hasn't followed a traditional path, includes alternative experiences, or doesn't meet every qualification or skill listed in the job description, please do go ahead and apply.

About BBH:

Brown Brothers Harriman (BBH) is a premier global financial services firm, known for premium service, specialist expertise, technology solutions and partnership approach to client management. Across Investor Services and Capital Partners, we work with an enviable roster of sophisticated clients who make BBH their first call when they are tackling their hardest challenges. Delivering for our clients and each other energizes us.

We believe that how we do our work is just as important as what we do. We are relentless problem solvers who know our best ideas come from collective debate and development-so we are never possessive about our ideas. Every day we come together as a diverse community of smart and caring people to deliver exceptional service and expert advice-creating success that lasts. No matter where you sit in the organization, everyone is empowered to contribute their ideas. BBHers can pick up the phone and call any colleague, and they are happy to help. Expanding your impact beyond your daily role is part of how we operate as trusted partners to one another.


We believe stability is a competitive advantage, but being stable means having the knowledge, skill, and discipline to evolve, often-pushing the boundaries of innovation. As a private partnership, every investment we make is in the relationships, technologies, products and development we believe are in the long-term interests of our clients and our people. Our long-tenured leaders are experts in their areas and are actively involved in the day-to day business, taking the time to provide guidance and mentoring to build the next generation of BBHers. Because we know, our success begins with yours.

Go to BBH.com to learn more about our rewards and benefits, philanthropy, approach to sustainability or how we support you to thrive personally, physically and financially.
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.