Investment Compliance Manager

Boston Trust Walden; Boston (MA); Hybrid; USD 96,000 - 133,000; Full time

Benefits offered by this job

90% Employer-Funded Medical

50% Funded Dental

Paid Holidays

Sick Time

Parental Leave

Tuition Reimbursement

Commuter Subsidy

Employee Assistance Program

Job summary

A financial services firm in Boston seeks an Investment Compliance Manager to ensure alignment of investments with regulations and client mandates. The role involves daily compliance monitoring, collaboration with investment teams, and training on compliance requirements. Candidates should have over 8 years of relevant experience, strong knowledge of SEC regulations, and excellent organizational skills. The position offers a competitive salary of $96,000 to $133,000 annually, a hybrid work model, and comprehensive benefits.

Qualifications

• 8+ years of experience in investment management or financial services.
• Strong understanding of the Investment Advisers Act of 1940 and related SEC regulations.
• Proven ability to support compliance programs and regulatory reviews.

Responsibilities

• Conduct daily review and monitoring of pre- and post-trade compliance alerts.
• Collaborate with investment managers to resolve compliance alerts.
• Develop and provide training on compliance requirements.

Job description

Position: Investment Compliance Manager

Boston Trust Walden is seeking an Investment Compliance Manager to join the Risk and Compliance Department. This individual will play a key role in ensuring that investments are consistent with applicable rules, client mandates, and firm standards.

As the Investment Compliance Manager, you will understand the end-to-end context of client portfolio guidelines and rules, working with portfolio managers and client service administrators as appropriate. You will provide subject matter expertise on SEC-related guidance on compliance requirements for 40 Act registered investment advisers and investment companies. This position reports to the Director of Risk Management.

Key Responsibilities

• Conduct daily review and monitoring of pre- and post-trade and portfolio compliance alerts with respect to regulatory and internal rules and restrictions across all accounts managed by Boston Trust Walden.


• Collaborate with investment managers and client service administrators to resolve alerts in a timely manner.


• Develop an understanding of investment management agreement objectives, guidelines, and styles to facilitate regular reviews and validation.


• Observe investment committee and securities research committee meetings to understand how portfolios are positioned and why.


• Ensure that identified errors or compliance exceptions to regulatory or policy requirements receive appropriate corrective action.


• Respond to audit, regulatory, and examination requests.


• Develop and provide training on compliance requirements.


• Maintain current procedures for key activities.


• Escalate issues as appropriate to key stakeholders.


• Other projects and duties as assigned.

Education and Experience

• 8+ years of experience in investment management or financial services.


• Demonstrated experience monitoring investment guidelines, working in an investment compliance role, and understanding regulatory requirements.


• Strong understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, and related SEC regulations; general banking knowledge including OCC regulations; and other relevant investment and bank compliance requirements.


• Demonstrated experience with investment management platforms and compliance systems, such as Charles River IMS, Aladdin, CWAN, et. al.


• General interest in and knowledge of securities industry across various investment vehicles and asset classes.


• Experience conducting investment adviser marketing reviews and best execution trading blotter reviews.


• Proven ability to support compliance programs and regulatory reviews, including comfort speaking with regulators and auditors.


• Strong communicator with excellent organizational skills and the ability to manage multiple priorities.


• Comfortable working independently and cross-functionally.


• Understanding and familiarity with CRM databases, such as Salesforce.


• Must be proficient with the use of the Microsoft Office suite of products.


• Excellent problem solving and analytical skills and intellectual curiosity.

Salary Range

$96,000 - $133,000 USD annually.

This range considers the wide range of factors that are considered when making compensation decisions, including, but not limited to, skill sets, roles, experience, certifications, and education.

Base salary is only one component of Boston Trust Walden’s compensation; our discretionary bonus and profit‑sharing plan add to our total compensation package. Boston Trust Walden is proud to offer a competitive benefits package including 90% Employer‑Funded Medical, 50% funded Dental, and Vision benefits, Paid Holidays, Sick Time, Volunteer Time, and Parental Leave. We also offer additional benefits, such as Tuition Reimbursement, a Commuter Subsidy, Employer‑Contributed HSA, Employee Assistance Program and Life and Disability Insurance.

This is a full‑time position based in Boston, MA. Boston Trust Walden is currently operating in a hybrid manner with a mix of in‑office and remote work. New hires are expected to be onsite 4 days per week for the first 3 months and then 3 days per week thereafter.

Boston Trust Walden National Association is an Equal Opportunity Employer. We are committed to supporting equal employment opportunity and to promoting a workplace free of discrimination with regard to race, color, religious creed, national origin, genetic information, ancestry, sex, age, sexual orientation, gender identity, gender expression, physical or mental disability, parental status, marital status, veteran/US military status, pregnancy, citizenship status, or other legally protected status.

The organization will make reasonable accommodations in the application process if requested by new job applicants.