Job Title:
Compliance Manager, Head of Program Governance
Job Code:
7000
Job Category:
Compliance/Risk/Legal
Job Type:
Permanent
Job Location:
Boston - MA
Date Posted:
Feb 28 2023
Expires On:
Mar 31 2023
Responsibilities:
• Manage and coordinate compliance oversight/advice and delivery of service to business functions and programs as situationally appropriate including, but not limited to, Administrative Operations, Enterprise Continuous Improvement (ECI), Marketing, Environmental, Social and Governance (ESG), and others.
• Spearhead the development of a policy monitoring and maintenance program for the Firm, including the creation of a centralized policy portal.
• Design and implement the Global Compliance Training Program, utilizing a third-party vendor solution for online trainings, and develop the Compliance Training library and tracking mechanism for in-person trainings provided by Legal Regulatory Compliance team, leveraging in-house systems.
• Manage the Compliance responses for Client Services team, Sales Enablement team, and the delegate reporting process for the firm's global offices.
• Support the Program Governance Team more broadly in empowering business functions as first lines of defense by: 1)Promoting development of clear business and compliance roles; and 2.) Supporting business functions to develop scalable solutions, while also promoting compliance with internal policies, applicable rules and regulations.
• Collaborate globally with colleagues in APAC and EMEA to support related compliance services being provided in those regions, and to ensure understanding and applicability of global compliance standards
• Cultivate strong relationships with colleagues, including senior management, across business lines.
• Work closely with the CCO, Deputy CCO, global compliance officers, legal team, and investment teams to support business needs.
• Spearhead the development of a policy monitoring and maintenance program for the Firm, including the creation of a centralized policy portal.
• Design and implement the Global Compliance Training Program, utilizing a third-party vendor solution for online trainings, and develop the Compliance Training library and tracking mechanism for in-person trainings provided by Legal Regulatory Compliance team, leveraging in-house systems.
• Manage the Compliance responses for Client Services team, Sales Enablement team, and the delegate reporting process for the firm's global offices.
• Support the Program Governance Team more broadly in empowering business functions as first lines of defense by: 1)Promoting development of clear business and compliance roles; and 2.) Supporting business functions to develop scalable solutions, while also promoting compliance with internal policies, applicable rules and regulations.
• Collaborate globally with colleagues in APAC and EMEA to support related compliance services being provided in those regions, and to ensure understanding and applicability of global compliance standards
• Cultivate strong relationships with colleagues, including senior management, across business lines.
• Work closely with the CCO, Deputy CCO, global compliance officers, legal team, and investment teams to support business needs.
Qualifications:
• 7+ years' experience working in compliance for an investment adviser (or other financial services firm) or equivalent experience with a law firm, accounting firm, or consultant. Experience working in the private equity industry preferred
• Broad understanding of the laws, rules, and regulations applicable to registered investment advisers and private fund offerings, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Regulation D and the SEC Advertising Rule.
• Subject area expertise and strong learning aptitude across at least several relevant regulatory topics.
• Experience in creating and implementing policy maintenance program across multiple business lines.
• Superior organizational skills; able to execute and track to completion training programs firm wide.
• Pro-active, energetic, self-assured professional with high personal integrity and ability to develop good interpersonal relationships with others.
• Excellent communication skills (both oral and written).
• Proven ability to manage multiple and often competing priorities, adept at problem solving, identifying creative solutions, driving to decisions, and deliver results consistently.
• Understands the necessity to adequately document all work; detail oriented.
• Ability to work both independently and as part of a team.
• Enthusiasm for the mission of the company and for its diverse and inclusive culture.
• Broad understanding of the laws, rules, and regulations applicable to registered investment advisers and private fund offerings, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Regulation D and the SEC Advertising Rule.
• Subject area expertise and strong learning aptitude across at least several relevant regulatory topics.
• Experience in creating and implementing policy maintenance program across multiple business lines.
• Superior organizational skills; able to execute and track to completion training programs firm wide.
• Pro-active, energetic, self-assured professional with high personal integrity and ability to develop good interpersonal relationships with others.
• Excellent communication skills (both oral and written).
• Proven ability to manage multiple and often competing priorities, adept at problem solving, identifying creative solutions, driving to decisions, and deliver results consistently.
• Understands the necessity to adequately document all work; detail oriented.
• Ability to work both independently and as part of a team.
• Enthusiasm for the mission of the company and for its diverse and inclusive culture.
Required Years of Experience:
7
Additional Info:
For more information contact Lindsay at lindsay@fanning-boston.com
Salary Range: