Compliance Analyst - Investment Management (Boston, Ma)

Compliance Analyst – Investment Management (Boston, MA)

We are currently seeking candidates for a Compliance Analyst opportunity with a highly successful Investment Management firm located in Boston, MA. The Compliance Analyst will collaborate with compliance generalists, global compliance team members, and the CCO to develop, implement, test, and enforce the organization’s compliance program. The ideal candidate will have 3-5+ years of hands-on compliance experience working in an Investment Management firm.

This is permanent opportunity, offering a base salary of $110,000-$115,000 (depending on experience), strong bonuses, and excellent benefits.

Responsibilities:

• Examine and authorize personal trading and other required reporting under the firm’s Code of Ethics
• Proactively and diligently prepare compliance specific reporting for clients
• Perform additional compliance related responsibilities as directed
• Review and approve marketing and advertising materials, including prospect books, fact sheets, RFPs, and due diligence questionnaires to ensure compliance with requirements to the Adviser Act, NFA/CFTC, FINRA, and other global regulatory requirements as applicable
• Assist with the preparation and filing of required regulatory reporting
• Evaluate clients and prospects for KYC and AML compliance
• Prioritize the assessment of client mandates to promote and maintain compliance with contractual, firm, and regulatory requirements

Qualifications:

• Working knowledge of the following (preferred): Investment Company Act, Securities Act, Exchange Act, ERISA, FINRA, GIPS, CFTC/NFA, Dodd Frank Swap Requirements, Fixed Income Trading, and Private Placement Requirements
• Solid understanding of the Investment Advisers Act and the requirements of a Compliance and Risk program under the Adviser Act
• Excellent communication (written and verbal) and interpersonal skills
• Experience with or exposure to Charles River, My Compliance Office, Signal, and Bridger a plus
• BS/BA degree in Business or a related field
• Detail-oriented, collaborative, deadline-driven, and highly organized
• 3-5+ years of compliance experience in Investment Management
• Proficiency in MS Office Suite
• Strong experience with the review and approval of marketing and advertising materials in financial services

For immediate consideration, interested and qualified candidates should send their resume to Jenny at [email protected]