Job Title:
Senior Compliance Associate
Job Code:
Job Category:
Job Type:
Job Location:
Boston - MA
Date Posted:
Dec 20 2020
This highly- esteemed financial institution is seeking a Compliance Associate to join their team. This individual will support the firm's global compliance program, with particular emphasis on administering this firm's policies and procedures related to the supervisor of various employee- related activities. The Compliance Associate will require a Bachelor's Degree in with a minimum of 3-5 years in compliance roles with an investment adviser organization.

Position Responsibilities:
  • Review marketing materials, limited partner communications, website reviews and advertising materials
  • Oversee employee activities including personal trading, gifts, entertainment, business activities, and political contributions
  • Monitor transaction and holdings reports from employees
  • Oversee employee certification processes; review exceptions and violations
  • Assist with compliance program matters and projects
Position Qualifications:
  • Bachelor's degree required; concentration in law, business, finance or accounting preferred
  • 3-6 years of experience in compliance roles within an investment advisor organization
  • Experience presenting, interacting, and building effective relationships with professionals
  • Understands the securities laws, rules and regulations applicable to registered investment advisers and private fund offerings
  • Responds to variable workflow and maintains composure in a high-pressure environment
  • Has enthusiasm for the mission of the company and for its diverse and inclusive culture
Required Years of Experience:
Additional Info:
For More Information, contact: Lindsay Flynn: | phone: 617-728-4100 | fax: 617-728-4115
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