A boutique asset management firm in Boston is seeking a Compliance Specialist to join their talented team and help ensure regulatory compliance across the firm. As a compliance specialist, you will be reviewing collateral, training employees, maintaining policies and monitoring activities for compliance with internal policies and applicable rules and regulations. Performing compliance audits and engaging with internal and external stakeholders on compliance-related matters will also be important parts of your responsibilities. The ideal candidate is someone who can advocate for ethical conduct and standards across the firm. This role will be working with and reporting to the chief compliance officer.
- Reviewing marketing and client materials.
- Performing compliance audits and preparing/compiling reports.
- Maintaining regulatory compliance policies and related documentation.
- Collaborating with stakeholders to review policies, procedures and workflows.
- Providing training in compliance requirements and policies.
- Maintaining compliance calendar and compliance management systems.
- Facilitating vendor due diligence.
- Keeping abreast of regulatory changes and developments in the regulatory environment.
- Some travel to compliance conferences may be required.
- Bachelor’s degree.
- Five to seven years of regulatory compliance experience with an SEC registered advisor, or similar.
- Sound working knowledge of industry compliance requirements and standards.
- Proficient analytical and investigative skills.
- Excellent prioritization and organization skills.
- Exceptional interpersonal and communication skills.
We are an Equal Opportunity Employer and consider qualified applicants for employment regardless of race, gender, gender identity, gender expression, age, color, religion, disability, veteran status, sexual orientation, or any other protected factor.
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