Compliance Manager, Capital Markets

firstPRO, Inc; Boston (MA); On-site; USD 180,000 - 240,000; Full time

Job summary

A staffing and recruiting firm in Boston is seeking a Mid-Senior Compliance Officer to oversee compliance for their Capital Markets businesses. Responsibilities include addressing compliance matters, managing regulatory filings, and working closely with trading teams to ensure compliance. Candidates should possess at least 8 years of compliance experience and strong expertise in registered and private funds.

Qualifications

• 8+ years of compliance experience.
• Strong knowledge of registered and private funds, including 40 Act.
• Expertise in fixed income assets such as bank loans and high yield bonds.
• Excellent organizational and time management skills.

Responsibilities

• Serve as Compliance Officer for Capital Markets businesses.
• Address compliance and risk-related matters.
• Administer Restricted List and MNPI protocols.
• Coordinate regulatory filings for Capital Markets businesses.
• Collaborate with Trading Desks on trading compliance issues.
• Coordinate regulatory filings including Form ADV and Form PF for Capital Markets.

Skills

Compliance experience

Knowledge of registered and private funds

Expertise in fixed income assets

Organizational skills

Interpersonal skills

Problem-solving skills

Cross-functional

Detail-oriented

Confidential handling

Team player

Job description

Key Responsibilities

• Serve as Compliance Officer for Capital Markets businesses, with an expected focus on Credit
• Address compliance and risk-related matters, including registered fund (mutual / interval vehicle) and private fund compliance
• Administer Restricted List and MNPI protocols
• Partner with the investment staff to trouble-shoot compliance-related questions
• Partner with the Trading Desks to assess trading compliance questions
• Coordinate and oversee regulatory filings, including Form ADV and Form PF, for Capital Markets businesses.
• Compile Compliance information for (i) Registered Fund / 40 Act reports and questionnaires, and (ii) investor DDQs.

Other responsibilities

• Coordinate management of routine regulatory inquiries and exams
• Assist with compliance assurance matters and examination readiness
• Assist with, and respond to issues and questions identified by, firm testing activities
• Develop applicable policies and procedures for business unit functions
• Assist with marketing material review
• Work on long term projects aimed at strengthening the compliance program
• Coordinate with Compliance team on committee presentations

General Qualifications

• 8+ years of compliance experience
• Strong knowledge of registered and private funds, including 40 Act and credit vehicles
• Expertise in fixed income assets such as bank loans, high yield bonds, collateralized loan obligations, and other structured products
• Background working with investment staff, including traders and portfolio managers
• Familiarity with regulatory filings including Form ADV and Form PF
• Dedicated team player with a strong sense of ownership and follow-through skills
• Collegial and team-oriented
• Capacity to handle highly confidential and sensitive information
• Detail-oriented, conscientious and energetic professional with the ability to think creatively
• Excellent organizational and time management skills; ability to prioritize multiple projects with high attention to detail and adaptability
• Customer service orientation with strong interpersonal skills with the capacity to interact with outside parties and personnel across all levels of the firm
• Strong problem-solving and analytical skills
• Ability to prioritize responsibilities and work under deadlines

Seniority level

• Mid-Senior level

Employment type

• Full-time

Job function

• Information Technology
• Industries
• Staffing and Recruiting

Base pay range and additional compensation are provided by the employer. Actual pay will be based on skills and experience — talk with your recruiter to learn more.

Director of Compliance and Contract Management, Global Regulatory Compliance Senior Manager, and other related roles are listed for market context and not all postings may be currently active.