- Oversee and assist with day to day registered closed-end fund compliance program to ensure all actions are completed within deadlines e.g. testing, monitoring, etc.
- Draft and update relevant compliance policies and procedures
- Review marketing materials
- Oversee and assist with periodic reporting to registered fund Board and Primary Adviser
- Assist with the preparation of registered fund and adviser regulatory filings
- Assist in the preparation of annual compliance matters, e.g. annual review
- Provide relevant compliance training to internal team
- Respond to compliance-related inquiries from team members.
- Respond to inquiries from regulators
- Conduct research on new and upcoming compliance rules and matters and provide recommendations to relevant team members
- Bachelor's Degree, concentrating in finance, accounting, economics, or legal studies is preferred.
- 7-10 years of experience supporting an alternatives asset management compliance program that includes Investment Company Act requirements (experience with tender offer or interval funds a plus).
- Experience in a relevant legal role or a compliance consulting role will also be considered
- Extensive knowledge of the Investment Company Act and the Investment Advisers Act
- High proficiency in Microsoft Office (Excel, PowerPoint, Word, Outlook); experience with VBA, Python, or other data science language is a major boost
- Excellent problem-solving and interpersonal sills
- Strong ethical standards
- Ability to thrive in a collaborative working environment
- Intellectually curious and a team player who is willing to do whatever it takes to contribute to the success of the business.
Senior Compliance Manager - Boston, United States - Partners Capital
Description
Partners Capital is seeking a Compliance Principal to join our US Compliance team to contribute to the development and monitoring of the closed-end Registered Fund US compliance program and ensure adherence to regulations and to industry best practices. The person will interact heavily on a daily basis with all employees, including Partners. As a fast growing, 250+ person company, we seek someone who is motivated, a self-starter, adaptable and comfortable working on a small team in a fast-paced, entrepreneurial environment.
Position Responsibilities
The Compliance Principal will primarily be responsible for:
Qualifications / Attributes
Benefits
Partners Capital is committed to being a great place to work. We are focused both on wellbeing and professional growth. You can expect professional development and career progression opportunities, competitive compensation, exceptional benefits, and a flexible "results-focused" working model. Our benefits package includes medical, dental, and vision insurance, short and long-term disability insurance, life insurance, flexible spending accounts, commuter benefits, paid time off and a 401(k) plan with employer matching. The Firm also supports global philanthropy via a charity program and volunteer day. In addition, we champion a variety of wellness and social events.
Contact Details
Please send your CV to - with the subject: Senior Compliance Manager – Registered Funds. Further information about Partners Capital is available on our website www.partners-