Compliance Manager

SDL Search Partners; Boston (MA); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

Strong base pay

Bonus

Profit Sharing

Opportunities for growth & professional development

Fantastic company culture

Job summary

A leading asset management firm is seeking a Compliance Manager in Boston. This role is ideal for someone with over 5 years of related experience looking to take ownership of the Compliance function. The candidate will establish compliance rules, prepare reports, and lead strategic initiatives. A Bachelor's degree in Finance, Accounting, or Economics is preferred. This position offers strong pay, bonuses, profit sharing, and opportunities for professional growth in a fantastic company culture.

Qualifications

• 5-10 years of relevant experience in compliance management.
• Experience in the financial services industry, compliance and/or operations.
• Interest in growth and promotion within the firm.
• Regulatory and policy experience a plus.
• Ability to business partner across departments & levels, as well as with the leadership team, and external parties.
• Interest in growth & promotion with the firm.

Responsibilities

• Establish and maintain compliance rules in the core compliance engine.
• Prepare monthly and quarterly reports.
• Support daily monitoring of pre and post trade activities.
• Support daily monitoring of pre/post-trade activity across funds and accounts.
• Reporting of beneficial ownership in an accurate and timely manner.
• Work with Compliance leadership to ensure regulatory filings including form ADV.
• Review and updating of compliance policies and procedures.
• Assisting with investment compliance.
• Review and approving of marketing materials.
• Identify and resolve potential material non-public information and information barrier matters.
• Provide management with information on trends and issues and recommend improvement plans.
• Participate in and lead strategic initiatives within the team and with partners.

Skills

Relevant experience

Regulatory and policy experience

Ability to business partner across departments

Growth mindset

Operations experience

Education

Bachelor's degree in Finance, Accounting, Economics, or related field

Job description

A Top Asset Managementfirm is looking for a Compliance Manager as a new addition to the team. This is a great role for an individual with 5+ years of related experience looking for opportunity to take ownership of the Compliance function, within an established company that continues to grow organically.

• Strong base pay
• Bonus
• Profit Sharing
• Opportunities for growth & professional development
• Fantastic company culture

Responsibilities

• Establish and maintain compliance rules in the core compliance engine
• Maintain up to date understanding of new and proposed regulations to determine applicability to the firm based on a thorough understanding of the current business model
• Preparation of monthly and quarterly reports
• Support daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies
• Reporting of beneficial ownership in an accurate and timely manner
• Work with Compliance leadership to ensure relevant regulatory filings including form ADV
• Review and updating compliance policies and procedures
• Assisting with investment compliance
• Review and approving of marketing materials
• Identify and resolve potential material non-public information and information barrier matters
• Provide management with information on current trends and issues recognized during assignments and recommend plans for improvement
• Participate in and leading strategic initiatives within the team and in partnership with various business partners

Requirements

• 5-10 years of relevant experience
• Bachelor's degree in Finance, Accounting, Economics, or related field preferred
• Experience in the financial services industry, compliance and/or operations
• Regulatory and policy experience a plus
• Ability to business partner across departments & levels, as well as with the leadership team, and external parties
• Interest in growth & promotion with the firm