Compliance Manager Position, $110,000 - $160,000

Compliance Manager Position, $110,000 - $160,000, discretionary annual bonusSenior professionals with 10+ years may command higher compensation Boston, MA Downtown Financial District, Partial HybridPrincipals ONLY, No Visa Sponsorship availablePosition SummaryWe are seeking a Compliance Manager to support our institutional investment management compliance program and manage time-sensitive, confidential investment-related matters for our equity-focused strategies. This role serves as a critical bridge between regulatory requirements and business operations in a dynamic asset management environment.Work Environment: Must thrive in collaborative, in-person work environment with 5-day office presence requirementResponsibilities· Investment Compliance Oversight: ü Supervise Guideline Monitoring Team: Lead and coordinate the work of junior compliance staff responsible for ensuring portfolio adherence to client investment guidelines and regulatory restrictionsü Investment Advisory Support: Serve as primary compliance resource for portfolio managers and traders on complex regulatory questions, trade restrictions, and compliance interpretationsü Testing and Monitoring Program: Design, implement, and execute comprehensive testing procedures for all compliance policies, ensuring adherence to SEC, state regulatory, and internal compliance standardsü Corrective Action Implementation: Partner with business units to implement remedial measures identified through compliance testing, internal audits, and regulatory examinations· Regulatory and Risk Management: ü Trade Error Resolution: Investigate, document, and resolve trading errors in accordance with established procedures and regulatory requirementsü Due Diligence Management: Review and complete regulatory questionnaires, RFP compliance sections, and institutional client due diligence requestsü Policy Development: Create, update, and maintain compliance policies and procedures to address evolving regulatory landscape and business needsü Annual Policy Review: Conduct systematic annual reviews of all compliance policies in coordination with legal counsel and senior management· Cross-Functional Leadershipü Committee Participation: Active member of senior-level committees including Fair Valuation, Trade Oversight, Derivatives Risk Management, and Liquidity Risk Assessmentü Interdepartmental Collaboration: Work closely with Legal, Finance, Client Relations, and Investment Operations teams to resolve complex compliance mattersü Project Management: Lead and participate in firm-wide compliance initiatives and regulatory implementation projectsü Stakeholder Communication: Present compliance findings and recommendations to senior management and investment committeesQualifications· Regulatory Knowledgeü Securities Law Expertise: Deep understanding of Securities Acts of 1933 and 1934, Investment Advisers Act of 1940, and Investment Company Act of 1940ü Industry Experience: 7-10 years of hands-on experience with equity securities compliance, preferably in registered investment advisory or asset management environmentü Systems Proficiency: Experience with Charles River Order Management System and compliance monitoring platforms preferredü Confidentiality: Handle sensitive client and investment information with utmost discretion and professionalism· Professional Skillsü Communication Excellence: Superior written and verbal communication abilities for regulatory correspondence, policy documentation, and stakeholder presentationsü Multi-Priority Management: Proven ability to manage competing deadlines and priorities in fast-paced environmentü Research and Analysis: Strong investigative and analytical skills for complex compliance mattersü Attention to Detail: Meticulous approach to documentation, testing, and regulatory reportingü Leadership Capability: Ability to effectively guide and influence personnel at all organizational levels· Education and Experienceü Educational Background: Bachelor's degree required; advanced degree or professional certifications (Series 7, 66, CPA, JD) preferredü Industry Experience: Financial services compliance experience essential; asset management or investment advisory background strongly preferred· Work Flexibilityü Extended Hours: Ability to work additional hours during regulatory examination periods, quarter-end reporting, and special projectsü Professional Development: Commitment to ongoing education in evolving regulatory requirements and industry best practicesCommitted to Meritocracy, Inclusivity and Equal Opportunity Employment:• BlueSkyClarity and our clients are committed to meritocracy, inclusivity and equal opportunity and are proud to be an equal opportunity employer and comply with all applicable federal, state, and local fair employment laws.• We strictly prohibit and do not tolerate discrimination against employees, applicants, or any other covered persons because of race, color, sex (including pregnancy), age, national origin or ancestry, ethnicity, religion, creed, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.• This policy applies to all terms and conditions of employment, including, but not limited to, hiring, training, promotion, discipline, compensation, benefits, and termination of employment.• We comply with the Americans with Disabilities Act (ADA), as amended by the ADA Amendments Act, and all applicable state or local law.Posted by:• Dom Costagliola, Principal, m View phone number on click.appcast.io, View email address on click.appcast.io•