Regulatory Compliance - Boston
2 hours ago
Job description
The Regulatory Compliance Team
We help to oversee the compliance related activities associated with managing the complex legal and regulatory needs of the firm on a global basis. We are responsible for managing the firm's compliance policies and procedures, meeting regulatory reporting obligations, reviewing the firm's marketing materials, managing third-party examinations and administering the Code of Ethics. Completing these responsibilities requires extensive collaboration with colleagues throughout the organization.
We are seeking an experienced compliance professional to join our team to provide pro-active compliance support to our institutional asset management business with a primary focus on regulatory filings. The position will afford an individual with opportunities to apply their experience and analytical skills to a wide variety of projects and enhancements. We believe strongly in the development and mentoring of our professionals.
Responsibilities
Completing global regulatory filings holistically, including:
Daily short and long position and derivatives-related filings
Periodic regulatory filings including Form ADV, CTA-PR, 13F, 13H, TICs, and other global filings
Reviewing internal reporting and collaborating with our trade compliance and portfolio management teams, as necessary, to ensure various thresholds and limits are monitored and escalated, as appropriate
Utilizing and analyzing the results of third-party disclosure tools to complete daily filings
Actively identifying and contributing to opportunities to automate, enhance, implement, and maintain our policies and procedures to mitigate risk areas
Collaborating with the Filings team to identify opportunities for improvements and to assist with the associated implementations, including partnering with our Business Technologies team as appropriate
Collaborating with departments across the firm to provide guidance and gather insights
Understanding regulatory changes (both locally and globally) and understanding how those will impact the firm's regulatory reporting
Our Ideal Candidate
Is able to thrive in a dynamic, fast paced environment and prioritize under tight deadlines
Has strong analytical and organizational skills and a strong attention to detail
Is a self-starter that works proactively and thinks both strategically and tactically
Maintains a superior work ethic
Has demonstrated ability to prioritize and effectively manage competing priorities and projects
Prioritizes building and maintaining employee morale
Has excellent communication skills – oral and written
Has a strong executive presence and is able to present and evidence work product in a clear and comprehensive manner
Identifies opportunities to improve existing processes and procedures
Is knowledgeable of industry best practices in compliance surrounding regulatory filing matters and changes
Qualifications
3-5 years of regulatory compliance experience, preferably at an established investment manager
Experience preparing a variety of regulatory filings for both US and global regulatory bodies
Has knowledge of various securities laws (e.g., the Investment Advisers Act of 1940) and experience with CFTC regulations
The base salary range for this position is $61,000 to $95,000 per year.
Arrowstreet Capital operates a robust talent acquisition program, and we also seek to compensate and reward our employees competitively within our industry and in line with our merit-based culture. Our approach to total compensation includes base salaries and annual discretionary bonuses, as well as a robust benefits package. The determination of a successful candidate's base salary placement within the listed range will vary based on the candidate's relevant experience and qualifications (which may also include relevant certifications, credentials and other education), the job responsibilities and scope, the commensurate resulting level of the position and other relevant factors. The listed range is also an estimate, and additional information regarding base salary and other elements of total compensation offered by Arrowstreet Capital to successful applicants will be communicated during the recruitment process.
Arrowstreet Capital is a Boston-based systematic investment firm that manages global equity portfolios for institutional investors around the world.
All qualified applicants will receive consideration for employment without regard to sex, race, color, religion, national origin, ancestry, genetic information, age, pregnancy, medical condition, disability, veteran or military status, marital status or any other characteristic protected by federal, state, or local law.
Arrowstreet Capital is committed to working with and providing reasonable accommodations for qualified individuals with disabilities and disabled veterans. If you need a reasonable accommodation for any part of the employment process due to a disability, contact us to discuss the nature of your request and contact information.
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