Senior Compliance Leader — Asset Management

Eventide Asset Management, LLC; Boston (MA); On-site; USD 140,000 - 170,000; Full time

Job summary

Eventide Asset Management, LLC is seeking a Compliance Director to lead and evolve its compliance program. The role reports to the Chief Compliance Officer and works with the compliance team to design policies, perform risk assessments, and support regulatory examinations.

A strong background in the Investment Advisers Act, Investment Company Act, and private funds is essential. Ideal candidates will have excellent writing skills, the ability to train staff across departments, and a commitment

Qualifications

• Bachelor’s degree in business, economics, or related field required.
• 10+ years in financial services with compliance/audit responsibilities.
• Strong knowledge of the Investment Advisers Act and Investment Company Act.
• Experience with private funds and various product types.
• Excellent written and verbal communication skills.
• Experience with FINRA advertising requirements.
• Advanced systems and data skills (AI, Edgar, MyComplianceOffice).
• Ability to work independently in a fast-paced environment.
• Commitment to Eventide’s mission and values-based investing.

Responsibilities

• Draft and enhance policies for private funds, managed accounts, mutual funds and ETFs.
• Research regulatory matters involving advisers, funds, marketing and distribution.
• Maintain policies, procedures, responses to questionnaires, and regulatory filings.
• Review advertising, social media, conflicts of interest, disclosures, and contracts.
• Oversee sub-advisers and support GIPS compliance (Rule 2a-5).
• Present complex matters to senior management, sub-advisers, vendors, and regulators.
• Provide regulatory training to all departments.
• Perform risk assessments and testing.
• Support regulatory examinations and inquiries.
• Monitor regulatory developments and provide updates to senior management.
• Improve compliance processes through automation.

Skills

Regulatory analysis

Asset management compliance

Strong written & verbal communication

Attention to detail

Team collaboration

Policy drafting

Regulatory training delivery

Analytical mindset

Project management

Experience with FINRA requirements

Education

Bachelor’s degree in business, economics, or related field

Juris Doctor (JD) or MBA preferred

Tools

Edgar

Red Oak

MyComplianceOffice

Google Workspace

Microsoft 365

Spreadsheets

Job description

Eventide Asset Management, LLC is seeking a Compliance Director to lead and evolve its compliance program. The role reports to the Chief Compliance Officer and works with the compliance team to design policies, perform risk assessments, and support regulatory examinations.

A strong background in the Investment Advisers Act, Investment Company Act, and private funds is essential. Ideal candidates will have excellent writing skills, the ability to train staff across departments, and a commitment