Compliance Associate

Boston, MA

Job Reference #1837

Our client, a high-performing investment management firm, is seeking a motivated Compliance Associate to join their team. This position will work closely with the Chief Compliance Officer/General Counsel. 

Key Points

  • Ability to sit in a #2 seat within legal and compliance, reporting into the GC/CCO
  • GC/CCO is WONDERFUL – generous with his time, patient, intelligent, easy going – he will be a tremendous mentor to this hire
  • Highly visible role working across the firm’s compliance program, joining a lean team of bright professionals
  • Ability to take on more complex work over time
  • Organization boasts a long standing and impressive track record

Responsibilities

  • Assist in administering the Code of Ethics to all employees
  • Manage and submit regulatory filings
  • Monitor changes in industry regulations and policies and adjust compliance program as necessary
  • Review communications and marketing materials to ensure compliance 
  • Prepare regular investor reports along with other team members
  • Work with the GC/CCO to prepare for regular compliance reviews, exams and certifications
  • Collaborate with third party service providers

Qualifications

  • Bachelor’s degree and ideally 2-6 years of relevant compliance experience within a hedge fund, investment advisor, compliance consultant or related entity
  • Working knowledge of industry regulatory requirements
  • High attention to detail, strong organizational skills and the ability to excel in a fast-paced work environment
  • Ability to work and effectively communicate with a team as well as work independently on projects
  • Dedicated, pro-active, problem-solving mindset

Compensation: up to $160k all-in