An international asset management group is seeking an experienced Senior Compliance Officer to join their Boston-based, mission-led investment management firm. You will work closely with the firm's Chief Compliance Officer and will create immediate and lasting impact by implementing and overseeing strategic changes to the administration of the firm's compliance program.
Independently oversee testing, internal audits, and SOC1
Manage responses to due diligence requests from the Firm's clients
Prepare a wide variety of regulatory filings in a timely manner
Actively contribute subject matter expertise by understanding of rules and regulations of relevant regulatory bodies, changes in the regulatory frameworks, and recommending best practices in support of Company's regulatory compliance
Review, draft, and revise compliance policies and procedures and communicate these effectively with the Firm's affiliates nationally and globally
Administer review of subscription documents for unregistered funds, undertake KYC screenings on the Firm's customers, and document all required information according to prevailing regulation and policies.
Assist the CCO in new client onboarding along with the internal compliance training program.
Significant experience (5+ years) in compliance and/or operations at an investment management firm
Committed to our mission of promoting sustainable finance, intellectually curious about pertinent environmental issues, passionate about the green economy.
Ample experience working on internal and external audits
Broad understanding of CTFC, FINRA, ICA, and IA rules
Detail-oriented, highly organized, able to prioritize projects
If you feel you have the experience required and are passionate about sustainable/impact investing, please get in touch with me today.