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Investment Compliance Manager

  • Job type: Permanent
  • Location: Boston, Massachusetts
  • Salary: Negotiable
  • Job reference: 335171/002_1562184449
  • Sector: Asset Management, Selby Jennings
  • Date posted: 03/07/2019

Newly created Investment Compliance Manager position with one of Boston's leading investment management firms. This position offers the opportunity to manage a small, tight-knit team of compliance associates and work with the industry's leading technology platform-Charles River Development Compliance System.

Qualifications:

  • Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, other securities laws and applicable regulation
  • Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results;
  • Strong analytic and creative problem-solving skills; ability to generate creative alternatives to identified issues
  • Strong knowledge of fixed income securities, equities and derivatives
  • Strong knowledge of mutual fund compliance practices, rules, and regulations with emphasis on the Investment Company Act and Investment Advisers Act
  • Partner with business, operations, legal and other business teams effectively
  • Provide guidance to investment compliance clients and other lines of the firm's business
  • Extensive knowledge and coding experience in CRD Compliance System. Other compliance systems such as Aladdin, Longview or others accepted as well.
  • 8+ years of experience in investment adviser guidelines
  • 3+ years of supervisory experience required

Responsibilities

  • Comment on new and amended guidelines during client intake process
  • Train and manage compliance associates
  • Ability to read and rule code within CRD or another investment compliance technology
  • Must work out of the Boston office 5 days a week, no remote work available
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