1940 Act Compliance Officer - Boston, MA

The Compliance Officer is responsible for independent oversight and strategic development of our trading compliance program at MFS. · ...

+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 ...

We are seeking a Compliance Officer with experience in marketing material review to join our growing Boston office. · Review and approve marketing, advertising, and client-facing communications for accuracy, fairness, · and compliance with regulatory standards. · Provide guidance ...

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 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 ...

+ Manage complex strategic projects and significant regulatory initiatives + Develop effective relationships with business partners industry peers trade associations + Collaborate with senior management to understand business needs opportunities assess and articulate regulatory r ...

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 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 ...

The Compliance Officer role at MFS involves overseeing the firm's compliance framework related to critical business areas including best execution, fair allocation, trade errors and cross trades. · ...

+Job summary · MFS supports employees to reach better outcomes. Employees work together to favor ideas over individuals. · The Compliance Officer oversees trading compliance program. · 8-12+ years of compliance experience. · ...

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 ...

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. · ...

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. · Conduct compliance monitoring, including Rule 38a-1 testing ...

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. · Providing real time advice to internal globa ...

This role will join the Investment Adviser Compliance team with responsibilities spanning the Code of Ethics program compliance testing regulatory inquiries and program enhancements. · ...

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 ...

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. · ...

We are seeking a Senior Compliance Officer to join our team. The successful candidate will be responsible for ensuring compliance with regulatory guidelines and internal policies. · ...

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 ...

A leading global investment and insurance organization is seeking a Senior Compliance Officer to join its growing Compliance team. · ...