Compliance Manager Position

Compliance Manager Position, $110,000 - $160,000, discretionary annual bonus

Senior professionals with 10+ years may command higher compensation Boston, MA Downtown Financial District, Partial Hybrid Principals ONLY, No Visa Sponsorship available

Position Summary We are seeking a Compliance Manager to support our institutional investment management compliance program and manage time-sensitive, confidential investment-related matters for our equity-focused strategies. This role serves as a critical bridge between regulatory requirements and business operations in a dynamic asset management environment.

Work Environment:
Must thrive in collaborative, in-person work environment with 5-day office presence requirementResponsibilities
· Investment Compliance Oversight: ü  Supervise Guideline Monitoring Team:
Lead and coordinate the work of junior compliance staff responsible for ensuring portfolio adherence to client investment guidelines and regulatory restrictionsü  Investment Advisory Support:
Serve as primary compliance resource for portfolio managers and traders on complex regulatory questions, trade restrictions, and compliance interpretationsü  Testing and Monitoring Program:
Design, implement, and execute comprehensive testing procedures for all compliance policies, ensuring adherence to SEC, state regulatory, and internal compliance standardsü  Corrective Action Implementation:
Partner with business units to implement remedial measures identified through compliance testing, internal audits, and regulatory examinations
· Regulatory and

Risk Management:

ü  Trade Error Resolution:
Investigate, document, and resolve trading errors in accordance with established procedures and regulatory requirementsü  Due Diligence Management:
Review and complete regulatory questionnaires, RFP compliance sections, and institutional client due diligence requestsü  Policy Development:
Create, update, and maintain compliance policies and procedures to address evolving regulatory landscape and business needsü  Annual Policy Review:
Conduct systematic annual reviews of all compliance policies in coordination with legal counsel and senior management
· Cross-Functional Leadershipü  Committee Participation:
Active member of senior-level committees including Fair Valuation, Trade Oversight, Derivatives Risk Management, and Liquidity Risk Assessmentü  Interdepartmental

Collaboration:

Work closely with Legal, Finance, Client Relations, and Investment Operations teams to resolve complex compliance mattersü  Project Management:
Lead and participate in firm-wide compliance initiatives and regulatory implementation projectsü  Stakeholder Communication:
Present compliance findings and recommendations to senior management and investment committeesQualifications
· Regulatory Knowledgeü  Securities Law Expertise:
Deep understanding of Securities Acts of 1933 and 1934, Investment Advisers Act of 1940, and Investment Company Act of 1940ü  Industry

Experience:

7-10 years of hands-on experience with equity securities compliance, preferably in registered investment advisory or asset management environmentü  Systems Proficiency:

Experience with Charles River Order Management System and compliance monitoring platforms preferredü  Confidentiality:
Handle sensitive client and investment information with utmost discretion and professionalism
· Professional Skillsü  Communication Excellence:
Superior written and verbal communication abilities for regulatory correspondence, policy documentation, and stakeholder presentationsü  Multi-Priority Management:
Proven ability to manage competing deadlines and priorities in fast-paced environmentü  Research and Analysis:
Strong investigative and analytical skills for complex compliance mattersü …