First Eagle Investment Management, LLC
Compliance Officer, Vice President
First Eagle Investment Management, LLC, New York, New York, us, 10261
Compliance Officer, Vice President page is loaded Compliance Officer, Vice President Apply locations Chicago New York time type Full time posted on Posted 3 Days Ago job requisition id JR100853
Who we are looking for: First Eagle is seeking a Compliance Officer to focus on our marketing compliance program and be part of the Legal and Compliance team. What you will do: Prioritize and review advertising/marketing materials including RFPs/RFIs/DDQs within timeframes to ensure compliance with FINRA/SEC rules and regulations across multiple product and business lines such as mutual funds, Institutional strategies, interval funds, BDCs. Review advertising/marketing for non-U.S. jurisdictions including but not limited to EMEA and Asia. Provide timely, creative, clear, and thoughtful guidance to other departments and team members on advertising/marketing compliance matters for existing products and new product launches. File advertising/marketing materials with FINRA. Create and deliver compliance training when required. Assist the compliance team in monitoring and testing related to 206(4)-7 and 38a-1. Perform e-communication surveillance. Monitor the approved social media program. Collaborate, develop and nurture professional relationships with team members and high-profile internal clients. Assist on special projects and ad hoc assignments. The qualities you should have : Undergraduate Degree, preferably in finance, business, or liberal arts. 5+ years of compliance experience with an asset management firm or regulatory experience. Series 7 and 24 preferred. Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA regulation and/or FCA regulation. Strong sense of personal accountability and a work ethic to do what it takes to get the job done. Excellent judgment and ability to handle business matters in a fair and consistent manner. Strong relationship management skills, and the ability to communicate effectively. Base Salary range: $160,000 to $190,000. Compensation may vary based upon, but not limited to – the individual's skills, experience, qualifications, and internal equity. We value our people and offer a broad range of benefits. We provide generous paid time-off, medical/dental/vision healthcare plans, 401(k) retirement and profit-sharing plans, a flexible/hybrid work environment, “dress for the day” flexible work attire, and many more great benefits. For more information, please refer to our First Eagle Benefits website . First Eagle Investments and their affiliates and subsidiaries, including First Eagle Alternative Credit and Napier Park Global Capital, is an Equal Opportunity Employer. Equal Employment Opportunity has been, and will continue to be, a fundamental principle at First Eagle, where employment is based upon personal capabilities and qualifications without regard to race, color, religious belief, including dress and grooming practices, sex, sexual orientation, gender identity, gender expression, age, national origin, marital status, citizenship, disability, veteran status, pregnancy, breastfeeding or medical conditions related to breastfeeding, status as a victim of domestic violence, sexual assault, or stalking, or any other basis protected by applicable federal, state or local law, genetic information or characteristics (or those of a family member), or any other protected characteristic as established by law.
About Us
What we do: First Eagle Investments is an independent, privately owned investment management firm headquartered in New York with approximately $161 billion in assets under management as of June 30, 2025. With a heritage dating back to 1864, First Eagle Investments has served as a prudent steward of client capital across market cycles, varying macroeconomic conditions and numerous disruptive events. Philosophically autonomous but united under First Eagle’s core investment tenets, our five investment teams—Global Value, Small Cap, High Yield Municipal Credit, First Eagle Alternative Credit and Napier Park Global Capital—apply their disciplined, unconventional thinking across a range of investment capabilities. Our actively managed strategies feature equities, fixed income and currencies, alternative credit and real assets to offer clients a range of differentiated risk-return profiles backed by a shared emphasis on mitigating downside risk. What drives us:
At First Eagle, clients come first, always. To deliver on this commitment, we nurture an environment that attracts, develops, and retains a talented, inclusive workforce. We also aim to inspire each of our employees to do their life’s best work with us and for our clients. We have built a culture that promotes inclusion and respect, and holds every member of the organization to the highest standards of integrity and accountability. Introduce Yourself
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Who we are looking for: First Eagle is seeking a Compliance Officer to focus on our marketing compliance program and be part of the Legal and Compliance team. What you will do: Prioritize and review advertising/marketing materials including RFPs/RFIs/DDQs within timeframes to ensure compliance with FINRA/SEC rules and regulations across multiple product and business lines such as mutual funds, Institutional strategies, interval funds, BDCs. Review advertising/marketing for non-U.S. jurisdictions including but not limited to EMEA and Asia. Provide timely, creative, clear, and thoughtful guidance to other departments and team members on advertising/marketing compliance matters for existing products and new product launches. File advertising/marketing materials with FINRA. Create and deliver compliance training when required. Assist the compliance team in monitoring and testing related to 206(4)-7 and 38a-1. Perform e-communication surveillance. Monitor the approved social media program. Collaborate, develop and nurture professional relationships with team members and high-profile internal clients. Assist on special projects and ad hoc assignments. The qualities you should have : Undergraduate Degree, preferably in finance, business, or liberal arts. 5+ years of compliance experience with an asset management firm or regulatory experience. Series 7 and 24 preferred. Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA regulation and/or FCA regulation. Strong sense of personal accountability and a work ethic to do what it takes to get the job done. Excellent judgment and ability to handle business matters in a fair and consistent manner. Strong relationship management skills, and the ability to communicate effectively. Base Salary range: $160,000 to $190,000. Compensation may vary based upon, but not limited to – the individual's skills, experience, qualifications, and internal equity. We value our people and offer a broad range of benefits. We provide generous paid time-off, medical/dental/vision healthcare plans, 401(k) retirement and profit-sharing plans, a flexible/hybrid work environment, “dress for the day” flexible work attire, and many more great benefits. For more information, please refer to our First Eagle Benefits website . First Eagle Investments and their affiliates and subsidiaries, including First Eagle Alternative Credit and Napier Park Global Capital, is an Equal Opportunity Employer. Equal Employment Opportunity has been, and will continue to be, a fundamental principle at First Eagle, where employment is based upon personal capabilities and qualifications without regard to race, color, religious belief, including dress and grooming practices, sex, sexual orientation, gender identity, gender expression, age, national origin, marital status, citizenship, disability, veteran status, pregnancy, breastfeeding or medical conditions related to breastfeeding, status as a victim of domestic violence, sexual assault, or stalking, or any other basis protected by applicable federal, state or local law, genetic information or characteristics (or those of a family member), or any other protected characteristic as established by law.
About Us
What we do: First Eagle Investments is an independent, privately owned investment management firm headquartered in New York with approximately $161 billion in assets under management as of June 30, 2025. With a heritage dating back to 1864, First Eagle Investments has served as a prudent steward of client capital across market cycles, varying macroeconomic conditions and numerous disruptive events. Philosophically autonomous but united under First Eagle’s core investment tenets, our five investment teams—Global Value, Small Cap, High Yield Municipal Credit, First Eagle Alternative Credit and Napier Park Global Capital—apply their disciplined, unconventional thinking across a range of investment capabilities. Our actively managed strategies feature equities, fixed income and currencies, alternative credit and real assets to offer clients a range of differentiated risk-return profiles backed by a shared emphasis on mitigating downside risk. What drives us:
At First Eagle, clients come first, always. To deliver on this commitment, we nurture an environment that attracts, develops, and retains a talented, inclusive workforce. We also aim to inspire each of our employees to do their life’s best work with us and for our clients. We have built a culture that promotes inclusion and respect, and holds every member of the organization to the highest standards of integrity and accountability. Introduce Yourself
Not finding the right fit? Let us know you're interested in a future opportunity by clicking
Get Started
below or
create an account
by clicking 'Sign In' at the top of the page to set up email alerts as new job postings become available that meet your interest!
#J-18808-Ljbffr