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Job Details

Manager, Investment Adviser Compliance, Asset Management Firm

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Job #: 14718
Status: Inactive / Filled
Title: Manager, Investment Adviser Compliance, Asset Management Firm
Job Location: MA-Boston
Northeast (CT, ME, MA, NH, RI & VT)
Job Categories: Compliance & Legal
Industries: Investments
Base Compensation:
Low: $100,000       High: $125,000
Total Compensation:
Low: $115,000       High: $145,000
Bonus, Incentives, etc.: Bonus, Performance based
Is Employer Willing to Relocate?: ?
Employment Type: Full Time / Direct Hire
Why is This a Great Opportunity?
International Asset Manager seeks Manager of Investment Adviser Compliance. Hired candidate will act as Compliance Officer for company’s asset management business, accountable for supporting the surveillance of firm's compliance with industry rules and regulations that govern registered investment advisers.
Job Description:
• Development and ongoing maintenance of the firm's Compliance Program as required by the Securities and Exchange Commission. • Coordination of all internal and external audits and examinations related to the advisory practices. • Preparation of compliance related reporting to the company's Board of Directors, Investment or other committees, and external parties such as the SEC. • Develop and administer effective and efficient written supervisory and compliance policies, procedure and testing protocols. • Identify and assess regulatory, compliance and business risks to which the company is exposed, including those related to portfolio management, trading, personal trading, and supervisory structure and oversight. • Conduct annual reviews of the adviser's compliance program in accordance with the Advisers Act of 1940, including writing and presenting the annual review report to the Board. • Development and supervision of the annual review process. • Supervision of SEC examination processes. • Prepare material for quarterly Board and Committee meetings including standard and ad hoc reports on relevant compliance and other related matters. • Design and conduct or supervise, quality assurance reviews (similar to internal audit reviews) within company to help improve controls or processes. • In conjunction with the Office of Corporate Compliance, oversee corporate wide policies as they pertain to company staff and help ensure compliance with such. • Strategically design and tactically implement the adviser compliance program. • Perform surveillance of electronic communications of the adviser's personnel. • Develop and implement firm wide compliance training programs. • Participate in the drafting and submission of regulatory filings. • Manage regulatory relationships and maintain familiarity with the developments in the relevant federal and state securities laws. • Conduct due diligence of the compliance programs or control environments of the firm's vendors, including onsite visits. • Participate in the identification, implementation and oversight of strategic initiatives
Mandatory Minimum Qualifications - Must Have: • Minimum 10 years of relevant experience, including formal compliance experience and work in a financial institution. Background in law, compliance, accounting and/or internal audit desired. J.D. required. • Organization skills to manage conflicting, competing priorities and projects. Written communication skills for internal and external audiences. People management skills in order to gain acceptance and compliance from others not in direct chain of command. • Experience managing professional staff. • Extensive experience in drafting formal policies and procedures • Ability to interact effectively with all levels within the organization including senior management • Prior supervisory or management experience with exposure to the securities industry and investment regulations and/or accounting practices is required. • Excellent interpersonal and communications skills are required. Demonstrated analytical, computer and organizational skills.
Education: Juris Doctorate
Certifications: None
Licenses: None
Total Years of Experience: 11-15+
Years of Experience in Present Position: 1-2+
First Name:
Last Name:
E-mail Address:


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