Compliance Officer, Finance & Banking

A Boston-based investment management firm is seeking an experienced Compliance Officer to join its growing team. This role reports directly to the Chief Compliance Officer and will play an important role in supporting and enhancing the firm’s compliance program.

The firm manages diversified investment strategies across equity, fixed income, balanced, and private market portfolios for institutions, financial intermediaries, and individual investors. This is an opportunity to join a well-established and collaborative investment organization where compliance plays a critical role in supporting the firm’s long‑term success.

This is a hands‑on and highly visible position where the Compliance Officer will work across multiple areas of the compliance function. The role requires someone who is comfortable managing day‑to‑day compliance responsibilities while helping strengthen policies, monitoring processes, and regulatory oversight. The position offers strong cross‑functional exposure and the opportunity to partner with teams across investments, operations, and leadership to maintain a robust compliance framework.

• Support the day‑to‑day administration of the firm’s compliance program
• Assist with compliance monitoring, testing, and internal controls
• Identify potential gaps in monitoring processes and recommend improvements
• Maintain and update compliance policies, procedures, and documentation
• Monitor regulatory developments impacting investment advisers and investment companies
• Communicate compliance requirements and identified deficiencies to internal stakeholders
• Assist with regulatory filings, documentation, and internal reporting
• Partner with internal teams to ensure compliance with SEC rules and regulatory obligations

• 8+ years of compliance experience within an investment adviser, asset manager, or similar financial services firm
• Strong understanding of SEC regulations governing registered investment advisers and investment companies
• Bachelor’s degree required; advanced credentials such as JD, MBA, or similar highly valued
• Strong organizational, analytical, and communication skills
• Ability to work independently and manage multiple priorities in a fast‑paced environment
• Exceptional attention to detail

• Opportunity to work closely with senior leadership and the Chief Compliance Officer
• Exposure across multiple areas of the business and compliance program
• Collaborative, team‑oriented investment management environment
• Competitive compensation and benefits

If you are interested in learning more about this opportunity, please apply directly