Regulatory Compliance Analyst, Investment Management
Private Equity
Private Equity in Boston is seeking a Compliance Analyst to join its growing team. This role offers broad exposure to SEC regulatory compliance, corporate governance, risk management, and investment adviser operations within a sophisticated institutional investment environment. This is an excellent opportunity for an early-career compliance, audit, legal, or accounting professional looking to gain broad exposure and collaborate across multiple business functions. #J-18808-Ljbffr Private Equity
$65k - $113.75k
...looking forOfficer, North America Investment Oversight will provide... ...oversight support for the investment management and other functions of SSIM and... ...responsible for supporting investment compliance, including the monitoring of regulatory requirements and client-specific...SuggestedTemporary workWork at officeLocal areaFlexible hours- A leading investment management firm in Boston is seeking a Compliance Associate to assist in monitoring the firm’s investment compliance program. The ideal candidate will have at least three years of experience in investment compliance monitoring and strong knowledge...SuggestedWork at office
$25 - $30 per hour
Compliance Reporting Analyst We are currently seeking candidates for a Compliance Reporting Analyst... ...with a highly successful Investment Management firm located in Boston, MA. The Compliance... ...reporting, client reporting, and regulatory reporting functions. The ideal...SuggestedContract workImmediate startRemote work2 days per week- Yoh, a Day & Zimmermann company, is seeking a Lead Compliance Systems/Data Analyst to work remotely. This role involves supporting compliance monitoring and investment guideline management across various investment management platforms. The successful candidate will collaborate...SuggestedRemote job
- Ernst & Young Oman is seeking an Investment Compliance Data Specialist to support compliance platform implementations across investment management solutions. The role focuses on ensuring data integrity and quality for compliance monitoring, collaborating with teams in compliance...Suggested
$100k - $130k
Principal Regulatory Specialist The Principal Specialist of Regulatory Affairs & Compliance provides regulatory expertise on labeling, claims, legal matters, recalls, audits... ...’ safety. Leads cross-functional teams, manages complex compliance programs in product safety...$100k - $175k
The Compliance Specialist will be involved in various aspects of an ever‑changing regulatory landscape within the Compliance Team of a global asset management firm. This individual will be primarily responsible for working closely with our marketing and distribution groups...Work at office- A global asset management firm based in Boston is seeking a Portfolio Compliance professional to support regulatory oversight and trade compliance activities. The successful candidate will monitor trade activity, assist with compliance programs, and collaborate with multiple...
- ...a confidential search for a Compliance Associate to join the compliance... ...Boston-based asset manager. This is a great opportunity... ...wants to build a career in investment management compliance. The firm... ...internal policies and procedures, regulatory filings, compliance testing,...Work at officeRemote work
$97.75k - $115k
...a diversified global asset management firm. We serve institutional... ...individual clients through our Investment Franchises and Solutions... ...support a team of portfolio compliance professionals within VCM’s Legal... ...department, assisting with regulatory oversight and trade...Local areaFlexible hours$220.47k - $330.7k
...term sheet negotiation, due diligence and transition to alliance management; Lead Integrated Deal Teams (IDTs), partnering with Scientific... ...for U.S. Visitors: All information on this site is subject to compliance with local rule and regulations as they may vary from time to...Local area$70k - $118.75k
Who we are looking forThe Regulatory Advisory and Optimization team is... ...that power clients’ investment decisions, accelerate performance... ...FRM team in Boston. The team manages Credit, Market, and Model Risk... ...Regulatory Advisory and Optimization Analyst, Officer you willAssist in...Temporary workWork at officeFlexible hoursShift work$120k - $180k
...Partners is a boutique wealth management firm that provides... .... Role Overview The Compliance Officer is responsible for supporting... ...in accordance with the Investment Advisers Act of 1940 and all... ...s policies, procedures, and regulatory obligations. Responsibilities...Local area$170k - $200k
Deputy Chief Compliance Officer - Investment Advisor Locations BOSTON, MA General Summary and Purpose The... ...function of a U.S.-based asset management firm. Reporting directly to the Chief... ...firm's compliance program — overseeing regulatory adherence, managing risk, and...Local areaFlexible hours$75k
...Grant Accounting and assists with overseeing the financial management and compliance of all sponsored grants and contracts awarded to ... $75,... ..., business people, tech experts, researchers, and systems analysts ... $66,000.00 yearly Full-time When you join the...Hourly payFull timeContract workFreelanceRemote work$150k - $200k
...As a forward thinking asset manager, we build dynamic relationships... ...will support the firm's compliance program across registered private... ...adherence to applicable regulatory requirements and internal policies... ...role will work closely with investment, operations, legal, product,...Full timeLocal areaFlexible hours3 days per week$154.4k - $242.55k
...therapeutic areas and other targeted investments, we push the boundaries of... ...role is within the Global Regulatory Affairs (GRA) Chemistry... ...regulatory success and regulatory compliance. Ability to draw from prior... ..., plans, executes and manages regulatory submissions per the...Minimum wageTemporary workLocal areaRemote workWorldwide$170.9k - $231.3k
...Overview The Associate Director of Regulatory Affairs Strategy will serve as US Regional... ...with CROs and with regulatory program managers at HAs. Maintain regulatory files in... ..., including SOPs for regulatory compliance. Provide EU specific regulatory intelligence...Full timeTemporary workLocal areaFlexible hours$75k
Administration and Compliance Support Associate About the Organization With a growing workforce... ...600 team members, The Peabody Companies manages more than 14,650 units of residential... ...coordination. Responsibilities Regulatory Compliance & Resident Relations Hearings...Full timePart timeWork at officeLocal area- Natixis Investment Managers in Boston seeks a recent college graduate for a role in asset management... ...and exposure to financial reporting, compliance monitoring, and board-level materials.... ...in fund operations while adhering to regulatory requirements. We provide a robust...
- ...Geode Capital Management is a global systematic investment manager. With a robust infrastructure and talented... ...Hybrid working arrangements Position Compliance Associate Location Boston, MA Job... ...for submission to applicable regulatory authorities as needed. Assist in...Work at officeRemote workMonday to FridayFlexible hoursDay shift
$97.75k - $115k
...A leading asset management firm is seeking a Compliance Analyst to support portfolio compliance activities. Responsibilities include daily monitoring of trades, maintaining compliance programs, and preparing reports. Applicants should have 2-4 years of experience in compliance...Flexible hours$75k - $85k
...Capital is a leading direct lending investment firm specializing in providing first... ...This position will assist in the management of the compliance programs’ policies, reporting and practices... ...’ experience working in compliance, regulatory or financial services roles ~...Overseas$113.1k - $133.7k
...the Team / Role Reporting to the Director, Corporate Compliance, the Regulatory Compliance Analyst 4 will assist with the coordination and integration of... ...of Business Conduct and Ethics, conflict of interest management, ethics and compliance hotline management, and...Flexible hours- ...SFG is searching for licensed Financial Advisors to join their Boston team. In this role, you will help clients develop actionable investment strategies, focusing on education and long-term financial planning. The ideal candidate will have a Series 65 or Series 7 and 66...
- ...MA, is seeking a qualified professional to oversee life cycle management and scheduling within the FDA-regulated industry. The position... ...managing work orders, calibrations, and deviations while ensuring compliance with safety standards. Join a leading firm dedicated to equal...
- TD Bank Group (TD) is seeking a Principal Review Analyst for regulatory oversight with TD Private Client Wealth. This role focuses on reviewing brokerage and advisory business to ensure compliance with FINRA and SEC regulations. Ideal candidates will have a college degree...
- Wex is seeking a Regulatory Compliance Analyst 4 to coordinate Corporate Compliance activities. This role requires managing compliance-related processes, advising employees, and enhancing an ethical culture across the organization. The ideal candidate will have extensive...
- MFS Investment Management is looking for a Compliance Reporting Associate to ensure compliance with regulations and report outcomes to senior leadership. Candidates should possess strong data management skills and a bachelor's degree for this important role. The position...
- Origin Staffing in Boston is seeking a Compliance Associate to support the firm's compliance program within an established asset manager. You will gain exposure to SEC compliance, regulatory filings, testing, and cross‑functional projects across investor relations, accounting...Work at officeRemote work
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