Senior Investment Compliance Lead (40 Act/SEC)

Boston Trust Walden; Boston (MA); Hybrid; USD 96,000 - 133,000; Full time

Benefits offered by this job

90% Employer-Funded Medical

50% Funded Dental

Paid Holidays

Sick Time

Parental Leave

Tuition Reimbursement

Commuter Subsidy

Employee Assistance Program

Job summary

A financial services firm in Boston seeks an Investment Compliance Manager to ensure alignment of investments with regulations and client mandates. The role involves daily compliance monitoring, collaboration with investment teams, and training on compliance requirements. Candidates should have over 8 years of relevant experience, strong knowledge of SEC regulations, and excellent organizational skills. The position offers a competitive salary of $96,000 to $133,000 annually, a hybrid work model, and comprehensive benefits.

Qualifications

• 8+ years of experience in investment management or financial services.
• Strong understanding of the Investment Advisers Act of 1940 and related SEC regulations.
• Proven ability to support compliance programs and regulatory reviews.

Responsibilities

• Conduct daily review and monitoring of pre- and post-trade compliance alerts.
• Collaborate with investment managers to resolve compliance alerts.
• Develop and provide training on compliance requirements.

Job description

A financial services firm in Boston seeks an Investment Compliance Manager to ensure alignment of investments with regulations and client mandates. The role involves daily compliance monitoring, collaboration with investment teams, and training on compliance requirements. Candidates should have over 8 years of relevant experience, strong knowledge of SEC regulations, and excellent organizational skills. The position offers a competitive salary of $96,000 to $133,000 annually, a hybrid work model, and comprehensive benefits.