Senior Compliance Specialist

NextPhase Search, INC.; Boston (MA); Hybrid; USD 70,000 - 100,000; Full time

Job summary

NextPhase Search, INC. is seeking a Compliance Associate for our Boston-based investment management client.

This is a hybrid role with two days in the office, partnering closely with the Chief Compliance Officer to oversee regulatory obligations across the firm. The ideal candidate has 4–7 years of compliance experience in investment management or a registered adviser, strong Excel and office-suite skills, and experience with regulatory filings and trade reviews.

Qualifications

• Bachelor's degree and several years in investment management/compliance
• RIA experience preferred
• Experience with regulatory filings and trade review

Responsibilities

• Help manage compliance platform including ethics certifications and approvals
• Review client-facing materials and publications
• Monitor proxy votes and year-end filings
• Maintain custody and portfolio rule checks
• Review trading activity for execution consistency across accounts
• Assist with Form 13H, 13F, Form ADV Part 2 and Form CRS filings

Skills

Compliance experience

Investment management knowledge

Regulatory filings

Communication skills

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