- Oversee the reviews and analysis provided by staff of the daily investment compliance monitoring of clients' portfolios and regulated entities employing a variety of automated and manual processes.
- Oversee the review, identification and research of compliance exceptions. Escalate exceptions as necessary to senior management.
- Document compliance incidents and review them with senior management.
- Review business requirements of key rules/reports utilized for compliance monitoring to ensure items accurately reflect the interpretation of applicable requirements.
- Manage or oversee complex, strategic projects and significant regulatory initiatives.
- Ensure the careful review and monitoring of numerous clients' investment guidelines and regulatory restrictions (e.g. Investment Management Agreement, Prospectus, Statement of Additional Information).
- Provide guidance to investment compliance professionals in dealing with compliance issues.
- Respond proactively to requests for assistance from across the organization. Research issues, provide advice and guidance, reach consensus and communicate same to involved parties.
- Conduct meetings with high level employees and bring issues to successful resolutions.
- Keep abreast of global regulatory updates and interpretive releases. Collaborate with Legal to assess implications of new rules and regulations related to assigned areas. Apprise others of developments and recommend courses of action as appropriate.
- Pro-actively approach internal and external parties on related matters so as to ensure best practices are executed.
- Work on the development and implementation of global standard policies and procedures to enhance the productivity, efficiency and scope of coverage of the Compliance Department.
- Actively participate in new employee training relating to key investment compliance policies and procedures. Provide training for new investment compliance staff.
- Provide support to the Compliance Department's Training Team in the development and delivery of compliance training programs.
- Identify potential areas of compliance risk and work to develop corrective action plans to address same.
- Set group goals. Develop employees so as to ensure efficient completion of goals and initiate performance improvements as needed.
- Research, recommend and implement technology-based solutions to monitor compliance requirements.
- Bachelor's Degree or equivalent work experience. Must have at least 10 years work experience with a minimum of 4 years of direct experience in investment management, financial services or industry-related investment compliance.
- Significant prior exposure to investment management operations and its related rules and regulations is required as is significant direct experience in a compliance-related function.
- Excellent interpersonal, organizational, communication, customer-service, team-working and problem-solving skills.
- Minimum of 4 years of personnel management experience.
- Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner. Must be polished, professional, mature, well-mannered and well-spoken.
- Ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization. Demonstrated ability to effectively represent Compliance with industry peers and in client-facing situations is required.
- Proven analytical skills. Make independent decisions, develop creative solutions to problems, advocate for same and manage the implementation through to acceptance.
- Able to manage the delivery of projects while ensuring the cooperation and success of cross-functional teams, with both domestic and international team members. Must effectively drive solutions throughout the organization and present ideas in an effective, non-confrontational manner. Escalate issues, advocate for solutions and ensure implementation of same.
- Within the scope of the function, experience with reviewing, evaluating, designing and implementing key compliance functions, including risk-based monitoring programs, user manuals and personnel training is required.
- Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in our compliance systems as required to perform the duties of this position, such as Bloomberg.
- Able to work overtime as necessary to keep current with work.
-
Investment Compliance Consultant
2 weeks ago
Ceres Group Boston, United StatesWe provide end-to-end solution to automate front and middle office investment management functions across asset classes on a single platform. Delivered as a hosted service, the solution improves data quality and investment professional productivity, controls risk and lowers techn ...
-
Senior Manager, Investment Compliance
2 weeks ago
Ceres Group Boston, United StatesJob Summary: · This position is responsible for managing a team of investment compliance professionals in their independent monitoring of investment compliance requirements so as to ensure the firm's ongoing compliance; advise key business units in related regulatory and client c ...
-
Senior Investment Compliance Analyst
2 weeks ago
Manulife Financial Corporation Boston, United StatesThe core job responsibility for a Senior Compliance Analyst (non-exempt) is to monitor the John Hancock Group of Funds compliance activities, including sub-adviser and service provider oversight within a manager of managers structure. To ensure the f Compliance Analyst, Investmen ...
-
Senior Investment Compliance Analyst
1 week ago
Manulife and John Hancock Boston, United StatesWe are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out ...
-
Senior Investment Compliance Analyst
2 weeks ago
Manulife Boston, United StatesWe are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out ...
-
Senior Investment Compliance Analyst
2 weeks ago
Manulife and John Hancock Boston, United StatesWe are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out ...
-
Aon Boston, United StatesAon Investments USA is looking for Senior Compliance Oversight Officer, Investments(Chicago or open to any remote location across the U.S.)As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions supportin ...
-
Portfolio Compliance Officer, Mercer Investments
2 weeks ago
Clark Insurance Boston, United StatesCompany:MercerDescription:At Mercer, we're creating a culture where you can bring your authentic self to work. When you join us, you bring your inclusive energy and enthusiasm to a team that values you personally and professionally - regardless of who you are, what you look like, ...
-
Senior Investment Compliance Analyst
1 week ago
Manulife Boston, United StatesManulife · Senior Investment Compliance Analyst · Boston , · Massachusetts · Apply Now · We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives t ...
-
Senior Investment Compliance Analyst
2 weeks ago
Manulife Boston, United StatesWe are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out ...
-
Senior Investment Compliance Analyst
2 weeks ago
Manulife Insurance Malaysia Boston, United StatesSenior Investment Compliance Analyst page is loaded · Senior Investment Compliance Analyst · Apply · locations · Boston, Massachusetts · time type · Full time · posted on · Posted Yesterday · job requisition id · JR · We are a leading financial services provider commit ...
-
Marsh & McLennan Companies Boston, United StatesAt Mercer, we're creating a culture where you can bring your authentic self to work. When you join us, you bring your inclusive energy and enthusiasm to a team that values you personally and professionally - regardless of who you are, what you look like, where you were raised or ...
-
Portfolio Compliance Officer, Mercer Investments
3 weeks ago
Clark Insurance Boston, United StatesCompany: · Mercer · Description: · At Mercer, we're creating a culture where you can bring your authentic self to work. When you join us, you bring your inclusive energy and enthusiasm to a team that values you personally and professionally - regardless of who you are, what yo ...
-
Director, Compliance
1 week ago
Beacon Hill Boston, United StatesCompliance, Director - Terrific opportunity to join the outstanding compliance team of this premier company. Must have 5+ years of compliance experience from an investment management firm, JD preferred. Significant experience with the Investment Advisor, Investment Company Act, F ...
-
Portfolio Operations Analyst
4 days ago
Boston Partners Global Investors, Inc. Boston, United StatesPosition: Portfolio Operations Analyst · Department: Investment Operations · Report to: Head of Investment Operations · Company Summary: · Boston Partners is a global investment advisor with $100 billion in AUM and a longstanding reputation for superior client service. The organi ...
-
Private Credit Specialist
3 weeks ago
Tundra Technical Solutions Boston, United StatesResponsibilities: · • Serve as a key resource for strategy/product specific information. · o Partner closely with the Director of the PE&C Specialist team, and other functional areas to manage Private Credit data and materials. · o Develop a detailed understanding of the product, ...
-
Paralegal- long term contract
2 weeks ago
Fanning/Masis Boston, United StatesParalegal Temp · Join Boston investment firm and work with all members of the Legal team of eight which is responsible for all aspects of the firm's legal initiatives. Will maintain and update electronic/physical minute books, file foreign qualifications, corporate resolutions, u ...
-
Senior, Business Analyst, Asset Management
5 days ago
QUANTEAM - North America (RAINBOW PARTNERS Group) Boston, United StatesAs the founding entity of RAINBOW PARTNERS, Quanteam is a consulting firm specializing in the fields of Banking, Finance, and Financial Services. Guided by our core values of closeness, teamwork, diversity, and excellence, our team of 1,000 expert consultants, representing 35 dif ...
-
Investor Relations Specialist
4 weeks ago
Tundra Technical Solutions Boston, United StatesThe Private Credit Specialist will be responsible for supporting the growth of the Junior Credit and Senior Credit strategies as well as the PE&C platform. · This includes refining existing processes and liaising with various internal stakeholders. The Private Credit Specialist ...
-
Wealth Advisor
2 days ago
Corient Boston, United StatesJoin a team that values your ambition and empowers your growth · At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communiti ...
Senior Manager, Investment Compliance - Boston, United States - CERES Group
Description
Job Summary:
This position is responsible for managing a team of investment compliance professionals in their independent monitoring of investment compliance requirements so as to ensure the firm's ongoing compliance; advise key business units in related regulatory and client compliance requirements; train investment compliance professionals and key business stakeholders on regulatory and client requirements; and support the senior management of the investment compliance group by defining and accomplishing departmental goals and objectives.
Principal Responsibilities:
Using in depth knowledge of regulatory requirements relating to investment compliance for both US and non-US jurisdictions (e.g.
, 1940 Act Funds, UCITS, ERISA, Canadian Pension Limitations, National Instruments 81-102, IRS 851 & 817h, the Investment Adviser Act) and by applying an understanding of client requirements, perform the following responsibilities:
Monitor:
Advise:
Train:
Other:
Qualifications:
