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Associate Director, Regulatory Compliance - Boston, United States - Arrowstreet Capital
Description
Filings Associate Director, Regulatory Compliance page is loadedFilings Associate Director, Regulatory Compliance
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locations
Boston
time type
Full time
posted on
Posted 6 Days Ago
job requisition id
R1030
Company Overview
We are a Boston-based investment manager that provides global and international equity investment strategies and fund products to institutional investors such as pension plans, endowments, foundations, and
registered/unregistered
commingled investment funds. We are a registered investment adviser with the U.S. Securities and Exchange Commission (SEC), and a registered commodity trading advisor and commodity pool operator with the U.S. Commodity Futures Trading Commission (CFTC).
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.
This individual will have demonstrated expertise in supporting a global compliance effort on a wide variety of matters. We believe strongly in the development and mentoring of our professionals.Responsibilities
Completing global regulatory filings holistically, including:
Daily short settling and derivatives-related filings
Periodic regulatory filings including Form ADV, CTA-PR, 13F, 13H, TICs, and other global filings
Overseeing internal reporting to ensure various thresholds and limits are monitored and escalated, as appropriate
Collaborating with the Business Technologies team to enhance current reporting capabilities for filings
Motivating team members on a daily basis and contributing to their professional development
Actively identifying and contributing to opportunities to automate, enhance, implement, and maintain our policies and procedures to mitigate risk areas
Collaborating with the Director of the Filings team to develop strategic compliance initiatives related to filings and to assist with the associated implementations
Experience with using third-party disclosure tools used to complete daily filings
Collaborating with departments across the firm to provide guidance and gather insights
Overseeing regulatory changes (both locally and globally) that 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
Is a self-starter that works proactively and thinks both strategically and tactically
Maintains a superior work ethic
Has the ability to prioritize and effectively manage competing priorities and projects
Is a strong leader who prioritizes building and maintaining employee morale, helping employees reach their full potential and inspires employee loyalty
Effectively collaborates across teams/functions and also works autonomously, with minimal supervision, when appropriate
Has strong analytical and organizational skills and a strong attention to detail
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, and experienced with, industry best practices in compliance surrounding regulatory filing matters and changes
Qualifications
Bachelors degree required
7+ years of regulatory compliance experience, with at least 5 years at an established investment manager
Has a strong knowledge of the securities laws (e.g., the Investment Advisers Act of and experience with CFTC regulations
Extensive experience working on regulatory filing submissions for both US and Global regulatory bodies
Experience managing large scale projects with day to day requirements
We maintain a friendly, team-oriented environment and place a high value on professionalism, attitude and initiative.
About Us
Arrowstreet Capital is a Boston-based systematic investment firm that manages global equity portfolios for institutional investors around the world.
Arrowstreet Capital is an equal opportunity employment firm that values diversity and inclusion.
All qualified applicants will receive consideration for employment without regard to sex, race, color, religion, national origin, ancestry, gender identity, genetic information, age, sexual orientation, 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 providing reasonable accommodations for qualified individuals with disabilities and disabled veterans during our application process.
If you need assistance or an accommodation due to a disability, contact us at.
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