Compliance Specialist

Overview NEW!! Compliance Specialist, Finance, Boston (hybrid- 3 days in office) Our client is a well-established, Boston-based institutional asset management firm with approximately 200 employees and a strong presence in the city's financial district. The firm manages a substantial book of assets across equity and niche asset classes, offering the infrastructure and resources of a large organization alongside the culture and accessibility of a smaller one. This is a highly stable organization with a genuine commitment to its people. The firm's compensation philosophy is designed to attract and retain top talent, and its benefits program reflects that — including comprehensive health coverage, 401(k) matching, annual profit sharing, paid family leave, generous paid time off, tuition and certification reimbursement, student loan support, and more. The work environment is collaborative and inclusive, with hybrid flexibility built in. The firm is deeply engaged in the communities it operates in, and the culture reflects that through volunteer programs, employee events, and ongoing professional development opportunities. Responsibilities Monitor client investment guidelines and restrictions on both a pre-trade and post-trade basis for registered funds, pooled investment vehicles, and separately managed accounts — identifying exceptions and escalating potential issues promptly. Research and resolve pre-trade and post-trade compliance matters in coordination with the appropriate internal stakeholders, including Portfolio Management, Trade Operations, and Data Operations. Conduct daily reviews of global shareholder thresholds — validating results, researching applicable reporting requirements, and escalating any potential reporting obligations. Assist with the preparation and submission of global shareholder ownership filings to applicable regulatory authorities. Support the implementation and ongoing maintenance of the compliance system used to monitor client investment guidelines and restrictions, including ensuring proper restriction coding in the order management system and conducting testing on new and existing investment restrictions. Review governing documents for new accounts and account amendments to identify compliance restrictions, and code those restrictions into the compliance system as needed. Proactively identify opportunities to improve compliance workflows through technology-driven solutions, and collaborate with the Technology team to translate business needs into actionable requirements. Qualifications A Bachelor's Degree and a minimum of 3 years of experience in investment compliance monitoring. Strong working knowledge of trade order management and compliance systems — experience with CRD is preferred. Hands-on experience coding investment guidelines and restrictions in compliance systems, ideally within CRD. Familiarity with global shareholder disclosure (GSD) regulations across multiple jurisdictions; experience with platforms such as CRD's GSD portal or FundApps is a plus. Comfort using financial software tools to retrieve and analyze data — Bloomberg experience is a plus. The ability to understand complex regulatory issues and communicate them clearly and concisely, both in writing and verbally, to senior stakeholders and external clients alike. Proven ability to manage high volumes of work under tight deadlines with accuracy and careful attention to risk — you know how to prioritize effectively when everything feels urgent. Strong organizational, analytical, and project management skills, and a collaborative, inclusive approach to working with others. #J-18808-Ljbffr NextPhase Search