Job Title:
Compliance Manager
Job Code:
Job Category:
Job Type:
Job Location:
Boston - MA
Date Posted:
Jan 6 2021
Highly reputable investment management firm is seeking a Compliance Manager to join their dynamic legal and compliance team. The primary focus of this role is marketing and advertising review, but the successful candidate will be well-rounded and take a hands-on approach to the review of materials and other business communications related to management. The ideal applicant for this role must consistently be creative, demonstrate critical problem solving and analytical skills, and possess a comprehensive understanding of FINRA and SEC rules and regulations as it relates to the advertising and marketing of securities products, and investment strategies and investment solutions.

Position Responsibilities:
  • Primary reviewer of marketing and advertising materials to ensure compliance with applicable regulatory requirements and filing of materials with regulators as needed
  • Determine how existing regulations apply to various categories of communications including but not limited to: retail communications, institutional sales literature, and internal use only materials
  • Work closely and collaboratively with the Marketing Team on new initiatives, including social media campaigns
  • Provide thought leadership on existing marketing and advertising initiatives and the evolution of investment adviser and pooled vehicle marketing and advertising
  • Effectively and promptly remediate non-compliant situations
  • Implement and enhance compliance policies, procedures, and processes
  • Design and deliver marketing and advertising training to internal constituents as needed
  • Build consensus among internal/external stakeholders
  • Lead implementation of new compliance initiatives
  • Perform forensic testing

Position Qualifications:
  • Bachelor's Degree or higher required
  • 7+ years of experience as a compliance professional or paralegal (or similar position) in a financial services firm or law firm
  • Experience with ETFs and multi-asset products and solutions and/or operating in a manager-of-managers structure would all be pluses
  • Excellent interpersonal and communications skills, both written and verbal; must be able to interact with senior professionals and address issues in a thoughtful and timely manner
  • Experience advertising review software
  • Independent, self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment
  • Strong project and time management skills are a must
  • Drive for continuous improvement and pursuit of challenging goals
  • Ability to shift focus dependent upon the need of the department to support teamwork
Required Years of Experience:
Additional Info:
For more information, contact: Lynn Tyburski (617) 728- 4100 |
Salary Range:


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