PeopleFluent
Glassdoor rating

We are a growing Registered Investment Advisory firm located in downtown Boston. Our primary distribution channels are in the US broker-dealer and investment advisor marketplace. We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our business. The ideal candidate will have extensive knowledge of today’s compliance environment for RIA’s and detailed experience with 1940 Act (Mutual Funds).

Key Responsibilities:

  • Develop a detailed understanding of firm’s business to manage compliance and federal securities law and regulations for mutual funds, separately managed accounts, and variable insurance trusts.
  • Ensure advertising/marketing materials for products and their use by Sales & Marketing are compliant with applicable regulatory requirements
  • ADV Reviews and Updates
  • Prospectus, Annual Reports, SAI filings and Updates
  • Onboarding new personnel with FINRA Registrations/Compliance Meetings/Training Materials/Code of Ethics/Compliance Manual
  • Lead person for audits, legal, and business partners for ongoing business changes, and regulatory expectations
  • Develop and implement effective surveillance oversight for sales, marketing, trading, products
  • Prepare Board Report and presentation

Requirements:

  • Bachelor’s Degree
  • Strong knowledge of legal requirements
  • Requires attention to detail, as well as the ability to work independently
  • Strong analytical and problem-solving skills
  • Ability to multi-task, meet deadlines
  • Excellent verbal and written communications skills
  • Compensation is commensurate with experience

Benefits:

  • Company paid competitive benefits package, including health, dental, life insurance, disability insurance, and 401(k).

Seniority Level

Mid-Senior level

Industry

  • Investment Management

Employment Type

Full-time

Job Functions

  • Finance

How you match

Criteria provided by job poster

Skills

  • No matchRegulatory Requirements
  • No matchFinancial Advisory
  • No matchWritten Communication
  • No matchAnalytical Skills
  • No matchSales & Marketing
  • No matchFINRA
  • No matchLife Insurance
  • No matchBroker-Dealer
  • No matchSkilled Multi-tasker
  • No match401(k) Retirement Savings Plans