Senior Compliance Specialist

NextPhase Search; Boston (MA); Hybrid; USD 95,000 - 125,000; Full time

Benefits offered by this job

Hybrid work schedule

Job summary

NextPhase Search, INC. partners with a Boston-based investment management firm to hire a Compliance Associate. The hybrid role collaborates with the Chief Compliance Officer across regulatory obligations and internal controls.

You'll engage in content reviews, filings, and policy updates while supporting process improvements and governance across the organization.

Qualifications

• Bachelor's degree in a related field and a track record in investment management or advisory.
• Working knowledge of how public securities markets function.
• Background reviewing client trade activity or portfolio holdings for compliance risk.
• Advanced Excel skills and command of Outlook, Word, and PowerPoint; SQL is a plus.

Responsibilities

• Help run the firm's compliance platform, including ethics certifications, reviews, and pre-clearance.
• Review client-facing materials such as brochures and the firm's website as you ramp up.
• Manage proxy votes, follow up on unresolved items, and oversee year-end filings.
• Support custody controls with quarterly and annual checks.
• Set up and monitor rules governing client portfolios.
• Review trading activity for allocation fairness and compliance.
• Prepare regulatory filings such as Forms 13H, 13F, 13D/13G and Form ADV Part 2.
• Assist the CCO with books, records, and retention per the compliance manual.
• Maintain paperwork on privately placed holdings and onboarding new ones.
• Coordinate with external compliance consultants during annual reviews.
• Take minutes as secretary of the Valuation Committee and participate in other committees.
• Build relationships as a go-to compliance resource and research emerging rules.

Skills

Regulatory compliance mindset

Genuine interest in investment mgmt

triage attention to urgent items

strong analytical abilities

Education

Bachelor's degree

Tools

Excel

Outlook

Word

PowerPoint

SQL

Job description

Compliance Associate, Investment Management, Boston (Hybrid, 2 Days/Week in Office)

Our client, an investment management firm based in Boston, is seeking a Compliance Associate to join its compliance department and partner directly with the Chief Compliance Officer. You would be involved in nearly every facet of the firm's regulatory obligations, with visibility across the organization and a real chance to shape how compliance gets done. The schedule is hybrid, with two days per week in the office and flexible hours of either 8:00 to 4:00 or 9:00 to 5:00.

What You Will Do

• Help run the firm's compliance management platform, including Code of Ethics certifications, periodic reviews, and the approval workflows for gifts, political contributions, and personal trade pre-clearance
• Take on client-facing and public-facing content review, such as brochures, pitch materials, and the firm's website, as you get up to speed on the business; this responsibility phases in over time rather than starting on day one
• Keep on top of proxy votes day to day, chase down anything unresolved, close out each quarter by confirming nothing eligible was missed, and handle the year-end N-PX filing
• Help keep custody controls on track, running the required checks each quarter and again annually
• Set up, revise, and monitor the rules and restrictions that govern client portfolios
• Review the firm's trading activity, including periodic checks that client accounts receive comparable execution results when trades are allocated across them
• Help prepare and review regulatory filings such as Forms 13H, 13F, and SLT, Schedules 13D and 13G, and portions of Form ADV Part 2 and Form CRS
• Assist the Chief Compliance Officer (CCO) in keeping required books and records organized and retained in line with the compliance manual
• Keep the paperwork current on the firm's privately placed holdings and help get new ones set up
• Act as liaison to the outside compliance consultant during the annual review, managing testing documents and taking part in interviews
• Take minutes as secretary of the Valuation Committee and contribute to other committees as needed
• Build relationships with colleagues at every level of the firm as a go-to compliance resource
• Research emerging regulations and industry practices, and help update firm procedures accordingly
• Take on additional compliance and firm-wide projects as assigned by the CCO

What You Will Bring

• A bachelor's degree, several years working in investment management or the advisory space, and a compliance track record that spans roughly the last four to five years. RIA experience is strongly preferred
• A working knowledge of how the public securities markets function
• Background reviewing individual client trade activity or portfolio holdings for compliance risk
• Advanced Excel skills and command of Outlook, Word, and PowerPoint; SQL is a plus, and familiarity with any particular compliance system is not required
• A knack for triaging what needs attention now versus what can wait, across a mix of recurring duties and longer-running projects
• Genuine interest in the investment management industry

You're likely a strong fit if you have:

• 4-7 years of compliance experience in investment management or at a registered investment adviser
• Hands-on experience with individual publicly traded securities (not primarily mutual funds or other pooled vehicles)
• Experience with trading-related compliance specifically for client (not employee) accounts, such as investment compliance or trade review
• A bachelor's degree and strong Excel skills