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    Compliance Officer - Boston, United States - The Ceres Group

    The Ceres Group
    The Ceres Group Boston, United States

    3 weeks ago

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    Description

    Job Title:
    Compliance

    Officer Job Function:

    Compliance Location:

    Boston, MA Industry:

    Asset Management Job Number:
    JO Mid-sized global asset manager in Boston is looking for two compliance officers. Pre and Post experience preferred to work for this rapidly growing firm with a great environment to work in.


    Position Overview:
    The Compliance Officer will be a member of the global compliance team and will support the firms Chief Compliance Officer in developing, implementing, testing and enforcing the firms compliance program

    Responsibilities:


    Review and coding of client mandates into the Charles River compliance system and the daily review of portfolios within the Charles River compliance system.

    General compliance related responsibilities as a member of the compliance team in support of the firms Compliance and Risk programs including the review of marketing and advertising materials in compliance with the Advisers Act and other relevant regulatory requirements, compliance specific client reporting, and Code of Ethics review and enforcement.

    Preparation and filing of required regulatory filings both in the U.S. and abroad.
    Other compliance related responsibilities as directed.


    Qualifications:


    Bachelors degree in Business or related and 8-10 years of relevant compliance experience at a registered investment adviserSeries 3, 7, 24 and other FINRA licensing a plus.

    Significant experience with coding portfolios into the Charles River compliance system and the use of such system to monitor mandate compliance on both a pre and post-trade basisStrong working knowledge of the Investment Advisers Act and the requirements of a Compliance and Risk program under the Advisers ActExperience with the review and approval of marketing and advertising materials, including website content, in compliance with the Advisers ActA working knowledge of many of the following is highly desirable: Investment Company Act, Securities Act, Exchange Act, ERISA, FINRA, GIPS, CFTC/NFA, Dodd Frank swap requirements and Private Placement requirementsExperience preparing and making regulatory filings both in the U.S and abroad including with the SEC, NFA/CFTC and Canada.

    Strong work ethic and attention to detail;Proven ability to handle simultaneous multiple tasks and meet competing deadlines with limited oversight and supportTeam orientation and willingness to engage in tasks of all sizes; Great communication skillsLI-JW1
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