Compliance Officer I - Boston

The Compliance Officer role involves performing various duties including policy review and testing as well as preparing annual SEC Rule 38a-1 Reports with the Chief Compliance Officer. · The position will also work on other compliance-related projects and initiatives associated w ...

The Compliance Officer is responsible for independent oversight and strategic development of our trading compliance program and provides real time compliance support to the Trading Department. · ...

The Compliance team is responsible for developing, implementing and monitoring compliance policies and procedures tracking regulatory developments advising the business on compliance considerations throughout the investment process The team partners closely with investment profes ...

+Job summary · About Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic Discretionary and Solutions offerings.+ResponsibilitiesConduct compliance monitoring including Rule 38a-1 testing main ...

The Compliance Officer is responsible for independent oversight and strategic development of our trading compliance program and provides real-time compliance support to the Trading Department.Because what we do matters - to us as valued professionals and to the millions of people ...

We are seeking a skilled and proactive Compliance Officer to join our Compliance team with a focus on Marketing & Advertising Review. This role is ideal for mid-career professionals with prior experience in investment adviser compliance, · Assist and collaborate with senior team ...

About The Company · Our client is a global investment firm with over $140 billion in AUM. The firm invests across a diverse range of strategies and asset classes, with a mix of long and alternative strategies across liquid and private markets. · Responsibilities · Conduct complia ...

About the Company: · Our client is a global investment firm with over $140 billion in AUM. The firm invests across a diverse range of strategies and asset classes, with a mix of long and alternative strategies across liquid and private markets. · Responsibilities: · Conduct compl ...

The purpose of the Compliance Officer role is to perform a wide range of duties, including Policy Review , Testing, and preparation of the Man US Registered Funds annual SEC Rule 38a-1 Reports with the Funds' Chief Compliance Officer. · ...

· About Man Group · Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic, Discretionary and Solutions offerings. Powered by talent and advanced technology, our single and multi-manager invest ...

The VP, Compliance Officer – Asset Management will develop, strengthen, and maintain the compliance and regulatory processes for the Asset Management division. · ...

Senior Compliance Officer –Marketing & Advertising Review Team Lead · Victory Capital | Boston, MA · About Victory Capital · Victory Capital (NASDAQ: VCTR) is a diversified global asset management firm. We serve institutional, intermediary, and individual clients through our Inve ...

+The VP, Compliance Officer – Asset Management will develop, strengthen, and maintain the compliance and regulatory processes for the Asset Management division. · +Oversee the asset management compliance and testing programs. · Identify, assess, and effectively communicate new or ...

We are looking for an Officer to provide investment oversight support for investment management functions. The Investment Oversight team monitors regulatory requirements and client-specific guidelines. · Perform pre and post trade compliance monitoring; · Analyze compliance breac ...

The Executive Office of Energy and Environmental Affairs (EEA) seeks to protect preserve and enhance Massachusetts' environmental resources and create a clean energy future for all residents. · DPU: · Ensuring Dig Safe Violation Reports are correctly catalogued in Microsoft Excel ...

The Mayor's Office of Housing works to foster healthy communities by ensuring stable housing and sustainable land use. · Under the direct supervision of the Assistant Director of Grants Management,the Senior Compliance Officer will develop procedures to ensure MOH compliance with ...

Suffolk seeks bold individuals who are curious, innovative, and caring. As Chief Compliance Officer you will oversee regulatory compliance across vertical construction operations. · Design and implement company-wide compliance programs. · Risk management including government cont ...

A leading global investment firm is seeking a mid-level Compliance Officer or Attorney to join its Global Compliance team with a focus on the administration of the firm's compliance program designed to mitigate conflicts of interest. · ...

The role of the Portfolio Compliance Officer will be a member of the Compliance team. This individual will work directly with the Portfolio Construction and Trading teams to resolve daily trading related issues. · Conduct daily, pre-trade and post-trade monitoring for primarily e ...

The Executive Office of Energy and Environmental Affairs (EEA) seeks to protect, preserve, and enhance Massachusetts' environmental resources and create a clean energy future for all residents. Through the stewardship of open spaces, · the protection of environmental resources, · ...

We are seeking a Senior Compliance Officer to join our growing Compliance team. This role sits at the intersection of asset management, insurance, and marketing. · Review and approve marketing and advertising materials across investment and insurance products · Partner with Marke ...