Manager of the TCW, MetWest, and TCW Alternative Fund Families

Compliance Associate

The Compliance Associate (Broker Dealer and Marketing Compliance) will primarily be responsible for reviewing, commenting on and revising marketing material to ensure compliance with applicable SEC and FINRA rules, regulation and guidance. The qualified candidate will also assist the broker dealer CCO with the oversight and supervision of the broker dealer, including conducting or assisting with branch office inspections.

This is a hands-on position in compliance within an organization of approximately 600 employees.  The individual will also be requested to assist in other areas of compliance as needs arise.


Develop a strong understanding of SEC and FINRA rules, regulations and guidelines regarding marketing compliance
Review, comment and revise domestic and international marketing materials to ensure compliance with applicable rules and regulations
Assist broker dealer CCO with various compliance related matters, filings, and supervision of registered representatives
Provide assistance to RFP and Legal departments for the completion and review of RFP’s, RFI’s, 15(c)’s, and questionnaires
Assist in the preparation for and travel to other broker dealer offices for branch office inspections as needed

Minimum Qualifications:

Bachelor’s Degree required; relevant certifications or advanced degree desirable
2+ years of relevant compliance related work experience
2+ years of experience with marketing material review and broker dealer compliance
Prior compliance experience with registered investment company’s
Active Series 7 License
Active Series 24 License or  must complete the examination within one year of hire
Experience in the financial services industry
Excellent people skills; demonstrated success in building and maintaining strong internal and external relationships
Strong organizational and time management skills; ability to effectively identify and prioritize the most critical tasks
Excellent communication and presentation skills
A desire to continually improve processes by researching and implementing best practices
Exercises good judgment and maintains strict confidentiality
A team player with the ability and willingness to pitch in as needed in areas outside one’s own core expertise

About TCW

TCW is a leading global asset management firm with more than four decades of investment experience and a broad range of products across fixed income, equities, emerging markets and alternative investments. Through the MetWest and TCW Fund Families, TCW manages one of the largest mutual fund complexes in the U.S. TCW’s clients include many of the world’s largest corporate and public pension plans, financial institutions, endowments and foundations, as well as financial advisors and high net worth individuals. As of June 30, 2016, TCW had total assets under management of $194.6 billion. TCW is headquartered in Los Angeles, and has offices in New York, Boston, London, Hong Kong, and Tokyo.

TCW is an Equal Opportunity Employer. Please visit for more information.