Teams at Thornburg Investment Management

Supports the investment firm's compliance program by reviewing marketing and advertising materials under SEC and FINRA requirements. Responsibilities include regulatory research, cross-border marketing guidance, policy testing, employee training, RFP and due diligence support, examination preparation, and maintaining review records. After obtaining Series 24, the officer will review communications for mutual funds, ETFs, UCITS, and other registered fund products.

Owns and improves enterprise endpoint security, including security standards, Microsoft Defender and Intune controls, vulnerability management, monitoring, incident response, remediation, compliance reporting, and audit readiness. Partners with workplace, service desk, information security, and platform engineering teams to implement scalable controls, investigate threats, validate remediation, manage exceptions, and improve control effectiveness. Provides technical guidance, mentoring, documentation, and governance support.

Leads mutual fund operations involving intermediary payments, contracts, transfer-agent oversight, vendor relationships, controls, compliance reviews, reporting, and risk management. Manages staff, establishes performance standards, oversees distribution-related fee arrangements, supports audits and regulatory examinations, resolves complex operational issues, and drives process automation and improvements. The role also supports product launches, fund mergers, share-class initiatives, and board reporting.