Compliance Officer
CERES Group
Mid-sized global asset manager in Boston is looking for two compliance officers. Pre and Post experience preferred to work for this rapidly growing firm with a great environment to work in.
Position Overview:The Compliance Officer will be a member of the global compliance team and will support the firm's Chief Compliance Officer in developing, implementing, testing and enforcing the firm's compliance program.
Responsibilities:
- Review and coding of client mandates into the Charles River compliance system and the daily review of portfolios within the Charles River compliance system.
- General compliance related responsibilities as a member of the compliance team in support of the firm's Compliance and Risk programs including the review of marketing and advertising materials in compliance with the Advisers Act and other relevant regulatory requirements, compliance specific client reporting, and Code of Ethics review and enforcement.
- Preparation and filing of required regulatory filings both in the U.S. and abroad.
- Other compliance related responsibilities as directed.
- Bachelor's degree in Business or related and 8-10 years of relevant compliance experience at a registered investment adviser
- Series 3, 7, 24 and other FINRA licensing a plus.
- Significant experience with coding portfolios into the Charles River compliance system and the use of such system to monitor mandate compliance on both a pre and post-trade basis
- Strong working knowledge of the Investment Advisers Act and the requirements of a Compliance and Risk program under the Advisers Act
- Experience with the review and approval of marketing and advertising materials, including website content, in compliance with the Advisers Act
- A working knowledge of many of the following is highly desirable: Investment Company Act, Securities Act, Exchange Act, ERISA, FINRA, GIPS, CFTC/NFA, Dodd Frank swap requirements and Private Placement requirements
- Experience preparing and making regulatory filings both in the U.S and abroad including with the SEC, NFA/CFTC and Canada.
- Strong work ethic and attention to detail;Proven ability to handle simultaneous multiple tasks and meet competing deadlines with limited oversight and support
- Team orientation and willingness to engage in tasks of all sizes; Great communication skills
#LI-JW1
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Compliance Officer in Boston, MA vacancy
$196k - $270k
About This Role:As a Compliance Officer, you will uphold and promote ethical integrity within Biogen's US business. Your expertise will ensure that our business operations adhere to the highest standards of compliance and regulatory conduct. By developing and delivering...SuggestedFull timeTemporary workWork at officeLocal area$150k - $200k
...the PositionThe successful candidate will support the firm's compliance program across registered private equity funds, private debt funds... ...position will work a hybrid schedule in one of our following offices 3 days/week.Boston, New York, Philadelphia, Baltimore, St....SuggestedFull timeLocal area3 days per week- ...IIs, Inventory Control Coordinator, and Chauffeur. Ensures compliance and accuracy of all monthly reports such as felony report,... ...Assists Director of Safety and Security with maintaining Office of Vehicle Management compliance. Develops, implements, and...SuggestedFull timePart timeWork experience placementWork at officeLocal areaMonday to FridayWeekend work
Department of Conservation & Recreation
Boston, MA4 days ago $130k - $150k
...success.About the DepartmentFranklin Templeton’s Global Regulatory Compliance department provides oversight, guidance and monitoring of the... ...laws, regulations, and internal policies.The Compliance Officer will play a critical role in supporting the firm’s growth by ensuring...SuggestedFull timeWork at officeLocal area$163k - $204k
...companies, through internal and external managers. The Investments Compliance team provides compliance and regulatory support to AIG’s... ...insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program.Review...SuggestedFull timeWork at office- ...and efficient services to the schools to help them achieve their goals.Job DescriptionDepartment Profile:Harvard’s Office of Research and Academic Compliance (ORAC) within the Office of the Vice Provost for Research aims to promote and support a culture of integrity in...Work at office
- Responsibilities Develop and deliver impactful compliance education and awareness programs for US Commercial employees and managers. Communicate emerging trends, new policies, and expectations to the US Commercial organization consistently. Collaborate with business...Work at office
- ...funds, as well as permanent capital vehicles. The firm is also an active acquiror of other asset management platforms. Role: Compliance Officer Callodine is seeking a Compliance Officer to report to the Chief Compliance Officer (CCO) and play an integral role in the firm...Permanent employment
- A Boston-based investment management firm is seeking an experienced Compliance Officer to join its growing team. This role reports directly to the Chief Compliance Officer and will play an important role in supporting and enhancing the firm’s compliance program. The firm...
$19.96 - $26.41 per hour
...Yes No State of New Hampshire Job Posting Revenue Administration Collections Division 109 Pleasant Street Concord, NH 03301 Compliance Officer I Position #14495 $19.96/hour - $26.41/hour See total compensation information at the bottom of announcement. The State of New...Full timeContract workTraineeshipWork experience placementLocal areaFlexible hours- Contractor | On-site Required Skills Compliance Compliance Officer Duration : contract Job Description A Compliance Officer ensures that an organization follows legal regulations, internal policies, and industry standards. They conduct audits, monitor compliance programs...Contract workFor contractors
$120k - $180k
...for generations. Our team of professionals operates from six offices across the nation, serving over 6,000 clients and managing... ...joining us at RWA Wealth Partners. Role Overview The Compliance Officer is responsible for supporting the development, implementation...Local areaRWA Wealth Partners LLC
Newton Center, MA5 days ago$54.67k - $66k
...credentialing, billing, and operational purposes Maintain provider rosters, monitor license and certification renewals, and ensure compliance with regulatory and internal standards Resolve credentialing and licensure issues, escalating potential delays to leadership...Full timeRemote workWork from homeBetter Life Partners
Boston, MA5 days ago- ...and PAC Cards; return terminated credentials to the Security Officer for destructionKeep a log of cards issued and collectedPerform... ...complete required online credentialing training and maintain compliance with PIV-II SmartID credential requirements.Knowledge of ICAM...Temporary workFor contractorsLocal areaShift workNight shiftWeekend work
Armada
Boston, MA5 days ago - ...inventory management, and customer support activities while ensuring compliance with established credentialing policies and security procedures... ...and attention to detail. Proficiency with Microsoft Office Suite. Preferred Qualifications Experience supporting HSPD...Permanent employmentFor contractorsWork experience placementWork at office
One Federal Solution
Boston, MA3 days ago - ...and PAC Cards; return terminated credentials to the Security Officer for destruction Credentialing Specialists shall keep a log... ...complete required online credentialing training and maintain compliance with PIV-II SmartID credential requirements. Knowledge of ICAM...Full timeContract workTemporary workFor contractorsLocal areaRelocationShift workNight shiftWeekend work
Armada
Boston, MA2 days ago $35k - $48k
...Education Required: BA/BS US Citizenship: Required Summary The MIL Corporation seeks a Junior Compliance Officer (Operations, Jr. Analyst) to support a federal law enforcement client with I-9 audit support services and worksite enforcement...Full timeContract workFor contractorsWork at officeRemote workWeekend workThe MIL Corporation
Boston, MA5 days ago$150k
Sr. Compliance/Audit Officer – To $150K – Boston, MA – Job # 3357 Who We Are The Symicor Group is a boutique talent acquisition firm based in Lincolnshire, IL & Rockport, TX. Our nationally unique value proposition centers around providing the very best available banking...Symicor Group
Boston, MAmore than 2 months ago- Junior Compliance Officer - Northeast Region: Philadelphia, New York, Boston Text DHSNE to (***) ***-**** to apply by phone Job Title : Junior Compliance Officer Location : Crystal City, VA ; Washington, DC ; Baltimore, MD Program Overview : LEGAL INTERPRETING SERVICES...For contractorsWork at officeLocal area
- Position Overview The firm is seeking a seasoned compliance professional to serve as the primary compliance officer for its Private Credit business. The Private Credit platform includes two business development companies (BDCs), as well as private funds, separately managed...
- ...seeking a Caregiver Credentialing Specialist who is passionate about compliance and accuracy and committed to helping our caregivers meet the... ...(CORI), Sex Offender Registry Information (SORI), and Office of Inspector General (OIG)/federal exclusion-list checks. Escalate...Work at officeWork from home
Vitra Health
Boston, MA5 days ago - ...within a highly regulated environment. • She/he also ensures that compliance standards are met for receipt and delivery of information to... ...submissions both electronic and paper.Skills: • Proficient in use of MS Office, Adobe Professional, Adobe Add-ins, Publishing Software (sCubed...Immediate start
$120k - $160k
...features, and market expansion activities to ensure continued compliance across global markets.Collaborate cross-functionally to ensure... ...highly collaborative environment.This role is based in the WHOOP office located in Boston, MA. The successful candidate must be prepared...Full timeWork at officeRelocation$55k - $120k
...expertise, scale, and technology.Job DescriptionTitle: Post Trade Compliance Analyst Location: Denver, CO; Boston, MA; Waltham, MA -... ...regulations.Communicate with investment advisers, compliance officers, portfolio managers, fund accounting teams, legal departments,...Ongoing contractFull timeWork at office- GLOBAL TRADE COMPLIANCE Why join Aptiv? You'll have the opportunity to work on cutting-edge applications, develop breakthrough technologies, and deliver innovative solutions to some of the world’s leading automotive brands. See your work come to life on the road—helping...Full timeTemporary work
$120.44k
Posting Description LICENSING AND BUSINESS DEVELOPMENT OFFICER, Technology Licensing Office, is responsible for the commercialization... ...the technology including Transactions, IP Portfolio Managers, Compliance, Operations and Finance teams. Job Requirements REQUIRED:...Permanent employmentFull timeWork at officeVisa sponsorship$80k - $150k
...with those of our clients.About the RolePosition OverviewThe Compliance Analyst will support Wellington Management’s broker dealer compliance... .... In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week....Full timeRemote workFlexible hours1 day per week$100k - $115k
...Premier Global Partnership.William Blair is seeking to add a Compliance Analyst to its William Blair Investment Management (WBIM) dedicated... ...team. This dynamic role reports to the WBIM Chief Compliance Officer and partners closely with the William Blair Funds' Chief...Temporary workWork at office$147.4k
Posting Description SENIOR LICENSING AND BUSINESS DEVELOPMENT OFFICER, Technology Licensing Office, is responsible for the commercialization of MIT’s IP portfolio arising from research and activities on MIT’s campus; managing a large portfolio of cases, including, technology...Full timeWork at officeVisa sponsorship- State of New Hampshire, Revenue Administration, Collections Division, is seeking a Compliance Officer II in Concord. The role focuses on collecting delinquent taxes and enforcing tax laws. Responsibilities include coordinating with the Department on collections, reviewing...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Officer. Be the first to apply!
Related searches
- regulatory affairs specialist Boston, MA
- medicare compliance specialist Boston, MA
- senior compliance analyst Boston, MA
- regulatory compliance analyst Boston, MA
- compliance specialist Boston, MA
- aml compliance analyst Boston, MA
- pharmaceutical compliance officer Boston, MA
- regulatory officer Boston, MA
- healthcare compliance officer Boston, MA
- regulatory analyst Boston, MA