Compliance Manager - Business Unit Compliance

Leading global alternative investment firm headquartered in Boston. 

The individual is responsible for direct business unit support of certain business units and functional groups. It is also expected that this position will provide business unit compliance support as needed to other business units across the entire firm. The position reports to the Vice President within the Business Unit Compliance function.

Key Responsibilities

Responsible for being the primary compliance contact in the business(es)/functions you support

  • Primary responsibility for addressing compliance and risk related issues, questions and concerns raised by the line of business(es) they cover.
  • Responsible for developing and implementing all compliance requirements in the business. An example of this may be updating or creating procedures for the business.
  • Working with the Investor Relations business unit compliance officer to assist in reviewing and documenting advertising and marketing materials and to ensure consistency and high standards of disclosure.
  • Partner within the business unit compliance team to cover all businesses. Each person will have a primary and back up business coverage assignment, to ensure broad and consistent knowledge in a timely fashion.
  • Assist in responding to issues and questions identified by the compliance risk and controls team. Work with the business unit compliance officers to identify solutions for systematic issues.
  • Communicate with management all issues and risks that need to be addressed. Along with VP of Compliance work to communicate issues to management.
  • Work with Compliance Department to ensure relevant regulatory filings, including SEC Form ADV 1 & 2, Form PF, are filed appropriately.

Technical/Compliance Qualifications

  • 6+ years of relevant professional experience required; 3-4+ years of compliance experience preferred
  • Experience with the Investment Advisers Act and preferably the Investment Company Act, as well as other securities related laws and rules (33 and 34 Acts)
  • Preferably experience with Commodities Futures Trading Commission (CFTC) rules and regulations
  • Experience with private funds, in particular, alternative investment strategies including private equity and hedge funds
  • Proficiency in Microsoft Office products (Excel, Outlook, PowerPoint, Word) and other compliance tools and solutions

General Qualifications

  • Dedicated team player with a strong sense of ownership and follow-through skills
  • Capacity to handle highly confidential and sensitive information
  • Detail-oriented, conscientious and energetic professional with ability to think creatively
  • Strong interpersonal skills with capacity to interact with outside parties and personnel across all levels of the firm
  • Ability to prioritize responsibilities and work under deadlines
  • Ability to read and decipher complex legal documents
  • Strong problem-solving skills
  • Flexible work hours may be required

Job ID: 9404

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