Senior Investment Compliance Lead - Hybrid (Boston)

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

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.