Thornburg is a global investment firm delivering on strategy for institutions, financial professionals and investors worldwide. The privately held firm, founded in 1982, is an active, high-conviction manager of fixed income, equities, and multi-asset solutions.

As an independent firm, Thornburg can take on a wide range of opportunities, explore ideas thoroughly and work across strategies to deliver consistent risk-adjusted outperformance over the long term. The firm attracts free-thinking professionals who are eager to pursue investment outcomes beyond the confines of popular wisdom. From nimble operational capabilities to principles and actions fitting of a global citizen, Thornburg’s world-class investment platform and team are aligned on strategy to serve investors.

Primary Job Function:

The Chief Compliance Officer will lead and oversee Thornburg’s regulatory compliance and enterprise risk management programs, ensuring adherence to regulatory requirements and fostering a culture of compliance and ethical integrity across the organization.

Duties & Responsibilities:

• Manage the day-to-day implementation and operation of Thornburg’s compliance programs across all business units, liaising daily with business leaders and other stakeholders.
• Oversee monitoring, testing, and reporting results of the compliance efforts and provide guidance on matters relating to compliance and risk management.
• Manage and coordinate all SEC examinations, including responding to information requests on a timely basis.
• Provide/assist in oversight, advice, review, negotiation and revision for policies, procedures, regulatory documents, matters concerning investment compliance, privacy, security, and data management. 
• Work with General Counsel to analyze regulatory and legal risks, opportunities, and options and implement changes as appropriate related to the firm’s goals, mission, and existing circumstances and how those may affect the overall corporate,      trust, and investment fund legal structures of the investment management business and enterprise.
• Manage the day-to-day implementation and operation of Thornburg’s enterprise risk management program across all business units and product lines.
• Perform regulatory and other research when and as necessary to resolve issues and  determine the appropriate course of action regarding a particular issue/case; draft memorandum on regulatory issues or other research topics as needed; in cooperation with the General Counsel, consult with outside counsel to develop regulatory and other strategies and resolve issues; advise various departments on legal/regulatory issues – lobbying laws, pay to play, etc.
• Regulatory filings, including Form ADV, Form D, Form 13G, Form 13H, Section 16 filings, foreign regulatory security ownership filings.
• Maintain the adviser’s licenses and/or exemptions from licensing in foreign jurisdictions.
• Act as a member of various Thornburg Committees, including Best Execution, Valuation and Pricing, Disclosure Controls, Liquidity Risk Management, and Enterprise Risk.
• Prepare materials for Thornburg and the Boards of Trustees of Thornburg’s registered investment companies, and deliver presentations to the boards and/or their committees as needed. 
• Oversee reviews of all institutional, private fund and registered investment company advertising.
• Oversee compliance rules and their monitoring in the firm’s order management system (Bloomberg AIM).
• Develop and maintain investment guidelines.

• Minimum 10+ years in financial services. 
• Juris Doctorate - preferred.
• Series 7, 24 licenses - preferred.
• Advanced skill to independently identify and analyze compliance issues.
• Strong critical thinking and problem-solving skills.
• Ability to work with a sense of urgency to meet deadlines and address competing priorities.
• Proficient skills with MS Office software.
• Excellent communication and interpersonal skills.
• Extensive investment company and registered investment adviser experience including exposure to and knowledge of 40 Act, Advisers Act, 33 Act, 34 Act, and SEC and FINRA regulations and familiarity with UCITS.
• Demonstrated experience with Rules 38a-1 and 206(4)-7 testing, conducting risk assessments, updating Form ADV, as well as drafting policies and procedures.

 Job Benefits:

• Medical, dental, and vision coverage.
• Employer 401(k) safe harbor and profit-sharing contributions.
• Work/life programs such as flexible work arrangements, flexible paid time off, paid parental leave, employee assistance plan, commuter benefits, student loan repayment program, education reimbursement program.
• Community involvement opportunities.
• Onsite cafeteria.
• Onsite fitness center.
• Referral program.

Santa Fe is the capital of New Mexico. Founded in 1610 and nicknamed "The City Different," Santa Fe captures hearts and minds with its museums, restaurants, theater, opera, and adobe-style architecture. With an average of over 300 sunny days per year and picturesque landscape, it's no wonder that outdoor activities such as skiing and hiking in "The Land of Enchantment" attract visitors from around the world.

All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, national origin, disability, gender, gender identity or protected veteran status.