We are looking for an experienced Compliance Manager to join a leading asset management firm in Boston, Massachusetts. This role offers an exciting opportunity to oversee compliance functions, ensuring regulatory adherence and operational excellence within a dynamic financial environment. The ideal candidate will thrive in a collaborative setting and bring deep expertise in financial services compliance.<br><br>Responsibilities:<br>• Lead and supervise the Guideline Monitoring team, providing guidance and support to investment and trading staff.<br>• Design, implement, and evaluate compliance policies and procedures to align with changing regulatory standards.<br>• Conduct thorough internal audits, manage compliance risks, and address findings from external examinations.<br>• Collaborate across departments and actively participate in high-level committees to drive organizational initiatives.<br>• Investigate, resolve, and document trade errors while ensuring corrective measures are effectively implemented.<br>• Review disclosures and oversee compliance-related communications to maintain transparency and integrity.<br>• Monitor adherence to investor guidelines and regulatory requirements, ensuring consistent compliance practices.<br>• Provide expertise in regulatory frameworks, including Securities Acts of 1933 and 1934 and the Investment Advisers Act of 1940.<br>• Utilize compliance tools such as the Charles River Order Management System to enhance monitoring and reporting processes.

• 7-10 years of experience in financial services compliance, with a focus on equity securities in asset management.<br>• In-depth knowledge of securities regulations, including the Securities Acts of 1933 and 1934, and the Investment Advisers/Company Act of 1940.<br>• Strong organizational and project management skills, with the ability to prioritize tasks effectively.<br>• Excellent research and communication abilities to address compliance challenges and collaborate with stakeholders.<br>• Hands-on experience with Charles River Order Management System is preferred.<br>• Bachelor’s degree in a related field, with a keen attention to detail and analytical mindset.<br>• Proven ability to navigate complex regulatory environments and resolve compliance issues.<br>• Familiarity with trade compliance processes and investor guidelines in the financial industry.

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