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Compliance Officer

Website PPM America

PPM America (“PPM”) is a client-focused investment manager, and our mission is to deliver specific client solutions and service to investors around the world with the goal of meeting their unique investment objectives.  In this role you would become a member of a small, nimble team that works together to help our clients meet their investment objectives through a spirit of collaboration and connectivity.  In addition, you would join a community of PPM employees that are committed to dedicating their time and support to local nonprofits with the effort of strengthening local families and increasing economic opportunities.

The key objectives of PPM’s legal and compliance team are to support our business partners in furtherance of their client needs and to advance PPM’s strategic objectives, in each case by providing accurate and timely advice and guidance, and managing risk through effective governance, monitoring and reporting.  Compliance advises and educates its business partners to promote compliance with applicable laws, regulations, and policies and leverages the in-house investment management, transactional and corporate expertise of the legal team. PPM’s legal & compliance team also works in close collaboration with other business areas to develop and implement the firm’s policies and procedures. Led by PPM’s chief operating officer and general counsel, our team works with all areas of the business fostering a collaborative and creative approach to solving legal and regulatory issues while ensuring that every action we take in servicing our clients reflects the highest ethical and legal standards.

The compliance team’s primary responsibilities include:

  • Conducting monitoring and testing to ensure effectiveness of PPM’s compliance policies and procedures and mitigation of regulatory risk
  • Working with relevant business teams across the firm to develop and/or update the compliance policies and procedures
  • Advising the business and executives on a wide range of complex regulatory matters relevant to the investment management services and products PPM offers to clients
  • Managing interaction with regulators, consultants, internal auditors, Jackson Financial, Inc. compliance colleagues and compliance counterparts at our various global clients

Summary of Main Responsibilities:

This position will report into the Chief Compliance Officer (CCO) and will:

  • Manage the compliance marketing material review process, including the review of fund related and other institutional marketing materials, requests for proposals, due diligence questionnaires and client responses and providing feedback and guidance to business stakeholders
  • Provide compliance oversight and support supervision activities for FINRA registered representatives related to institutional sales and marketing efforts across PPM’s various asset classes
  • Serve as a subject matter expert for certain compliance risk areas, assisting the CCO in the identification and assessment of compliance and regulatory risks to support the ongoing development and execution of PPM’s compliance plan
  • Conduct routine compliance monitoring activities and deep-dive thematic reviews on compliance risk topics identified in the PPM Compliance plan
  • Assist in the drafting and review of PPM compliance policies and procedures, identify, track and assess new regulations and rule proposals to ensure effective implementation of necessary policy and procedure changes and ongoing compliance

PPM is a team-oriented environment that provides hands-on support and incentives for your professional growth.  In managing the compliance review of marketing materials, this position regularly interacts with teams across the firm, including marketing and communications, distribution, business development, portfolio management, risk, performance management, and business processes and reporting.  Together with the knowledge gained in the review of marketing content, , this position will provide opportunities to build experience across a broad spectrum of institutional investment compliance activities,  In addition, the position will provide opportunities for engagement with peers and the firm’s leadership in content creation on various industry issues, such as the firm’s approach to ESG.


  • Bachelor’s degree required
  • 3-5 years of experience in compliance, audit or risk management, with some focus on marketing material review, preferably in a financial services setting
  • Other general regulatory and compliance experience helpful including knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, FINRA and other securities related rules and regulations and related policies and procedures
  • Familiarity with multiple asset classes and product offerings is helpful, but not required.  PPM’s strategies include:  public fixed income; private finance including bank loans and private placements; private equity; public and private asset-backed securities (ABS), including CLOs; distressed debt; and commercial real estate
  • Team player with excellent written and verbal communication skills
  • Ability to interact effectively and regularly with peers and all levels of management
  • Attention to detail and strong organizational skills, ability to simultaneously and efficiently manage multiple projects
  • Strong personal computer skills and efficient utilization of technology (Microsoft Office, Adobe Acrobat), additional familiarity with Seismic and JIRA are a plus


Equal Employment Opportunity PPM America, Inc. is an equal opportunity employer and we base our employment decisions without unlawful regard or consideration of an individual’s race, color, religion, national origin, sex, gender, sexual orientation, ancestry, citizenship, age, marital status, veteran status, medical condition, non-job related disability, pregnancy or any other basis protected by federal, state, or local law.

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