Compliance Manager

SDL Search Partners

Compliance Manager

Boston, Massachusetts, United States

About the Job

A Top Asset Management firm is looking for a Compliance Manager as a new addition to the team. This is a great role for an individual with 5+ years of related experience looking for opportunity to take ownership of the Compliance function, within an established company that continues to grow organically.

Compensation & Benefits

Strong base pay, bonus, profit sharing, opportunities for growth & professional development, health / dental / vision / 401k, fantastic company culture, hybrid work model

Responsibilities

Establish and maintain compliance rules in the core compliance engine
Maintain up to date understanding of new and proposed regulations to determine applicability to the firm based on a thorough understanding of the current business model
Preparation of monthly and quarterly reports
Support daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies
Reporting of beneficial ownership in an accurate and timely manner
Work with Compliance leadership to ensure relevant regulatory filings including form ADV
Review and updating compliance policies and procedures
Assisting with investment compliance
Review and approving of marketing materials
Identify and resolve potential material non-public information and information barrier matters
Provide management with information on current trends and issues recognized during assignments and recommend plans for improvement
Participate in and leading strategic initiatives within the team and in partnership with various business partners

Requirements

5-10 years of relevant experience
Bachelor's degree in Finance, Accounting, Economics, or related field preferred
Experience in the financial services industry, compliance and/or operations
Regulatory and policy experience a plus
Ability to business partner across departments & levels, as well as with the leadership team, and external parties
Interest in growth & promotion with the firm

Apply

Vacancy posted 4 days ago

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