Senior Compliance Officer - Boston, MA

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 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. · ...

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 ...

+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. · ...

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

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 ...

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 ...

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, · ...

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

Suffolk is seeking people who are bold. Curious. Innovative. Caring. Looking for the career opportunity of a lifetime. · We'll challenge and inspire you to be your very best. · ...

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 ...

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

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 ...

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 position partners closely with the Senior Compliance Officer and CCO to manage reporting monit ...