Compliance Manager

Job Description

Job Description

Our client is an Asset Management firm in Boston looking to add a Compliance Manager to the team.

As a Compliance Manager, you will :

• Supervise the Guideline Monitoring team’s work and engage as a trusted resource for investment and trading staff.
• Develop, implement, and test policies and procedures to ensure adherence to evolving regulations.
• Conduct internal audits, manage compliance risks, and address challenges from external compliance examinations.
• Liaise across departments and participate in senior-level committees, driving key initiatives.
• Resolve trade errors, review disclosures, and oversee corrective actions to maintain organizational integrity.

📈 What You’ll Bring to the Table :

We’re seeking candidates who thrive in dynamic environments and meet the following qualifications :

7-10 years of experience in financial services compliance, particularly with equity securities at an asset management firm.

Expertise in securities regulations (Securities Acts of 1933 and 1934; Investment Advisers / Company Act of 1940).

Strong project management, research, and communication skills.

Hands-on experience with the Charles River Order Management System (preferred).

A Bachelor’s degree, complemented by exceptional attention to detail and the ability to manage priorities seamlessly.

📍 Work Environment :

This role involves being in-office 5 days a week—an exciting opportunity to collaborate face-to-face with stellar professionals in a fast-paced, engaging environment.

Please reach out to Thatiane Abrantes with an updated resume for immediate consideration. Thank you!