Senior Capital Markets Compliance Lead

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.

Skills

Compliance experience

Knowledge of registered and private funds

Expertise in fixed income assets

Organizational skills

Interpersonal skills

Problem-solving skills

Job description

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.