Chief Compliance Officer

Masis Professional Group; Boston (MA); On-site; USD 175,000 - 200,000; Full time

Benefits offered by this job

Bonus

Job summary

Fanning- Masis is assisting a Boston-based asset management firm in recruiting a Chief Compliance Officer. The role requires 6+ years of experience in compliance for institutional clients and responsibility for the full compliance program, including SEC filings and risk management.

The base salary ranges from $175,000 to $200,000, with a bonus. This is a senior, client-focused position in the financial services industry seeking a strategic compliance leader in the Boston area.

Qualifications

• 6+ years of experience implementing and overseeing institutional compliance for investment/asset management firms.
• Experience handling regulatory filings and ongoing compliance monitoring is required.

Responsibilities

• Oversee the Firm’s comprehensive Compliance program, including client guidelines, risk management, COE, monitoring and annual reviews.
• Prepare and submit regulatory SEC filings and related compliance documentation.
• Lead testing and controls to ensure adherence to internal policies and external regulations.

Skills

Regulatory compliance

Risk management

SEC filings

Financial services experience

Compliance testing

Job description

Chief Compliance Officer opening located at a Boston asset management firm

I’m a Senior Recruiter at Fanning- Masis. I assist my client companies, investment/ asset/ wealth management firms located in and around Boston that serve a private wealth and/or institutional client base, with their candidate recruitment process. This scenario has enabled me to serve as a valuable resource to an individual who may be actively or passively interested in pursuing a new position in the financial services industry to serve as a catalyst for continued career growth and development

I’m writing to inform you that one of my client companies, an asset management firm located in Boston, is seeking a Chief Compliance Officer, an individual to assume full responsibility of the Firm’s Compliance program from all perspectives including client investment guidelines, COE, risk management including compliance testing, monitoring and annual reviews, preparing and submitting regulatory SEC filings, and the like.

This role is a FANTASTIC opportunity for an individual who offers 6+ years of experience performing the tasks described above in service of an institutional client base at an investment firm

Compensation includes a base salary in the $175K- $200K range, depending on experience, plus bonus