Chief Compliance Officer - Asset Management & Risk Leader

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

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.