- Compliance generalist able to address all areas of compliance
- Review regulatory changes and prepare policies to implement those changes
- Oversee Code of Ethics inclusive of personal trading review, gifts and entertainment monitoring, and political contributions
- Develop and deliver compliance training programs for employees
- Review marketing materials and other communications for compliance with regulatory requirements.
- Prepare various regulatory filings, including but not limited to Section 13 filings and net short position reporting
- Assist with regulatory requests and examinations
- Assist with firm's registrations and renewals
- Futures & commodities compliance
- Ad-hoc projects as needed
- Excellent oral and written communication and interpersonal skills
- Ability to interact with various levels of management
- A desire to be an innovative problem solver who enjoys crafting solutions
- Strong analytical skills
- Detail oriented and well organized
- Ability to multi-task in a fast paced environment
- Self-motivated and able to work independently
- Strong understanding of securities regulations, including the Investment Advisers Act of 1940 and the Securities and Exchange Act of 1934
- Extensive computer experience, including proficiency in Microsoft Word and Excel
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Sr. Compliance Manager - Boston, United States - Boston Partners Global Investor, Inc.
3 weeks ago
Description
Position:
Sr. Compliance Manager
Department:
Compliance
Report to:
Chief Compliance Officer
Company Summary:
Boston Partners is a global investment advisor with $103 billion in AUM and 175 employees.
The firm was founded in 1995 and has its main office in Boston with other offices in New York, California, and London.
Boston Partners is an indirect, wholly owned subsidiary of ORIX Corporation of Japan.
Boston Partners specializes in value equity investment strategies using fundamental research and a disciplined investment process investing in companies with attractive value characteristics and strong business fundamentals where there is a catalyst for positive change.
Boston Partners' management seeks to maintain a collegial environment emphasizing performance and cooperation with the goal for employees to spend the majority of their careers at Boston Partners.
The Senior Compliance Manager is an integral part of Boston Partners' 8 person compliance department.
The Senior Compliance Manager will be expected to exercise leadership responsibilities as well as specific areas of responsibility including developing, compliance policies and procedures and performing compliance auditing of key processes.
The Senior Compliance Manager will interact with other Boston Partners' employees, including senior management, portfolio managers and analysts, and present to clients and prospects.
The Senior Compliance Manager will work cooperatively with other department personnel and will be responsible for managing special projects as assigned.
Major Responsibilities* years of relevant experience in investment advisory compliance, preferably in an asset management firm
