Compliance Officer
Boston, Massachusetts • $130,000 - $140,000
About the Company:
Our client is a global investment firm with over $140 billion in AUM. The firm invests across a diverse range of strategies and asset classes, with a mix of long and alternative strategies across liquid and private markets.
Responsibilities:
- Conduct compliance monitoring including Rule 38a-1 testing and maintain test documentation and deliverables
- Schedule and conduct interviews with internal departments and external vendors as part of 38a-1 requirements
- Draft written reports containing results of compliance monitoring and Rule 38a-1 testing for senior management
- Assist in reviewing and compiling regulatory filings
- Assist is ensuring new fund registrations are made appropriately
- Maintain 15c adviser and sub-adviser library
- Respond to compliance questions, draft, and maintain policies and procedures
- Assist with the review of fund marketing materials
Requirements:
- Bachelor’s degree required
- 3-5 years of compliance experience at a financial services firm
- Working knowledge of U.S. mutual fund structures and compliance requirements under the Investment Company Act of 1940
- Ability to review regulatory documentation and provide concise analysis
- Strong research skills
Salary Range:
$130,000 – $140,000
#LI-GP1