Hybrid Senior Investment Compliance Lead

Massachusetts Financial Services Company; Boston (MA); Hybrid; USD 79,000 - 113,000; Full time

Benefits offered by this job

Retirement contribution 15%

Education assistance: monthly $100

Tuition reimbursement

Wellness programs

Generous leave

Health plan options

Job summary

Massachusetts Financial Services Company in Boston is seeking a Compliance Lead Specialist to serve as a senior Investment Compliance resource. You will provide guidance on regulatory and client guideline requirements and partner across the firm to assess complex matters and strengthen compliance practices.

Responsibilities include translating client requirements into monitoring controls, supervising daily trade activity, investigating breaches, and advising internal stakeholders to maintain

Qualifications

• Bachelor's degree or equivalent years of experience, preferably 5-6+ years with at least 4 years related investment management, financial services or industry related compliance experience.
• Excellent interpersonal, organizational, communication, customer-service, team working and problem- solving skills.
• Experience in multi-tasking and able to prioritize according to business need.
• Proven ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization.
• Strong attention to detail is essential.
• Good business judgement and the ability to handle challenges while maintaining a professional approach to problem solving.

Responsibilities

• Translate client and regulatory requirements into monitoring controls; oversee daily trade activity and periodic account reviews.
• Investigate and resolve potential compliance breaches, including determining root cause and impact, documenting conclusions, escalating material matters, and recommending corrective actions.
• Participate in departmental initiatives with new or existing workflows/processes to meet applicable goals within regulatory, internal and other frameworks.
• Own assigned business relationships by providing timely, risk-based compliance advice and communicating requirements clearly.
• Assist with the research of regulatory issues and provide appropriate guidance to internal stakeholders.
• Become proficient and follow all applicable departmental policies and procedures.
• Keep abreast of changes in regulatory rules, guidelines and interpretations affecting compliance.
• Participate in compliance projects and work with wider Compliance team as required.
• Support other global initiatives/functions in assigned region.

Skills

Regulatory knowledge

Investment compliance

Analytical thinking

Communication skills

Cross-functional collaboration

Education

Bachelor's degree or equivalent

Job description

Massachusetts Financial Services Company in Boston is seeking a Compliance Lead Specialist to serve as a senior Investment Compliance resource. You will provide guidance on regulatory and client guideline requirements and partner across the firm to assess complex matters and strengthen compliance practices.

Responsibilities include translating client requirements into monitoring controls, supervising daily trade activity, investigating breaches, and advising internal stakeholders to maintain