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Regulatory Compliance Specialist

Conflicts Compliance Lead - Investment Management

Job in Boston, Suffolk County, Massachusetts, 02298, USA
Listing for: Software Guidance & Assistance, Inc. (SGA, Inc.)
Full Time position
Listed on 2026-02-11
Job specializations:
  • Law/Legal
    Regulatory Compliance Specialist
  • Finance & Banking
    Regulatory Compliance Specialist
Job Description & How to Apply Below
A leading financial firm in Boston seeks a mid-level Compliance Officer to join their Global Compliance team. The ideal candidate has 5+ years in investment management compliance and strong legal expertise, particularly regarding the Investment Advisers Act of 1940. Responsibilities include advising on conflicts of interest, preparing documentation, and coordinating with legal teams. SGA values diversity and offers a discretionary bonus based on performance.
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