Highly-esteemed Boston financial institution is seeking a Compliance Officer, Subadvisers to join their growing team! The individual in this role will provide the oversight of the firm's business partners including subadvisers and index/model providers.
- Perform substantive review and cross-monitoring of subadvisers' and model/index providers' monthly, quarterly and annual questionnaires and related materials, including policies and procedures and internal control reports
- Daily work on web-based platform to update tracking logs, monitor information received and run reports. Collaborate with teammates and/or request additional information from subadvisers/model/index provider contacts when appropriate
- Determine completeness and reasonability of information/data provided in response to requests or questionnaires initiated. Materials flow to quarterly Board reporting, including materials received to comply with annual 15(c) request
- Potential travel in connection with participation in virtual or onsite subadviser/model/index provider inspections
- Routine and off-cycle updating of questionnaires on platform due to regulation changes, product launches, etc.
- Assist in drafting comprehensive due diligence reports and PowerPoint presentations covering subadviser/model/index provider inspections
- Assist with drafting memorandas relating to quarterly board reporting, ESG factor analysis, and other compliance monitoring activity
- Bachelor's Degree with 5-7 years of experience working with the Investment Advisers Act of 1940 and/or Investment Company Act of 1940 in a financial services firm, compliance consulting firm or law firm required
- Experience in the investment management industry and strong knowledge of the regulations that govern its activities, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations
- Advanced proficiency with learning and administering technological applications
- Excellent interpersonal and communications skills, both written and verbal
- Keen attention to detail
- Ability to work both individually and with other team members under pressure
- Skilled at prioritizing competing tasks that require the highest level of attention to detail and accuracy
- Responsible for coordinating, and in certain cases managing, complex projects with multiple internal and external parties