Senior Compliance Manager

We are searching for a Senior Compliance Manager in Boston. This is a full-time, permanent position and excellent opportunity to join a reputable firm with opportunities to grow and expand career. Salary to 160k + bonus (flexibility for experience)

The Senior Compliance Manager plays a pivotal role within the firm's compliance department, consisting of 8 members. This position involves leadership responsibilities and specific tasks such as developing compliance policies, conducting audits, and ensuring adherence to regulatory requirements. The Senior Compliance Manager collaborates with various stakeholders including senior management, portfolio managers, and clients, and is responsible for overseeing the firm's Code of Ethics, conducting compliance training, reviewing marketing materials, and preparing regulatory filings. The role also encompasses handling regulatory examinations, assisting with registrations, and managing ad-hoc projects.

Key qualifications include 5-10 years of experience in investment advisory compliance, proficiency in securities regulations, strong analytical skills, and excellent communication abilities. The position requires a detail-oriented, organized individual capable of working independently in a dynamic environment. Strong understanding of securities regulations, including the Investment Advisers Act of 1940 and the Securities and Exchange Act of 1934.

Please reach out to Jeff Welch for more details.

This is an on-site position; applicants have to be able and interested in working in the office 5 days a week. Please apply if you meet the requirements and able to be in the office every day.