Lead Compliance Officer, Investment Management

Masis Professional Group; Boston (MA); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

Competitive compensation

Benefits

Exposure to senior leadership

Job summary

An investment management firm based in Boston is seeking an experienced Compliance Officer to oversee the compliance program's daily operations. This role requires over 8 years of compliance experience in financial services, a strong understanding of SEC regulations, and the ability to manage multiple priorities in a fast-paced environment. The Compliance Officer will work closely with senior leadership and contribute to maintaining the firm's compliance framework, ensuring regulatory adherence and communication within the organization.

Qualifications

• 8+ years of compliance experience within an investment adviser, asset manager, or similar financial services firm.
• Strong understanding of SEC regulations governing registered investment advisers and investment companies.
• Bachelor’s degree required; advanced credentials such as JD, MBA, or similar highly valued.
• Strong organizational, analytical, and communication skills.
• Ability to work independently and manage multiple priorities in a fast-paced environment.
• Exceptional attention to detail.

Responsibilities

• Support the day-to-day administration of the firm’s compliance program.
• Assist with compliance monitoring, testing, and internal controls.
• Identify potential gaps in monitoring processes and recommend improvements.
• Maintain and update compliance policies, procedures, and documentation.
• Monitor regulatory developments impacting investment advisers and investment companies.
• Communicate compliance requirements and identified deficiencies to internal stakeholders.
• Assist with regulatory filings, documentation, and internal reporting.
• Partner with internal teams to ensure compliance with SEC rules and regulatory obligations.

Job description

An investment management firm based in Boston is seeking an experienced Compliance Officer to oversee the compliance program's daily operations. This role requires over 8 years of compliance experience in financial services, a strong understanding of SEC regulations, and the ability to manage multiple priorities in a fast-paced environment. The Compliance Officer will work closely with senior leadership and contribute to maintaining the firm's compliance framework, ensuring regulatory adherence and communication within the organization.