Senior Compliance Officer - Boston

We are seeking a Compliance Officer with experience in marketing material review to join our growing Boston office. · Review and approve marketing, advertising, and client-facing communications for accuracy, fairness, · and compliance with regulatory standards. · Provide guidance ...

The Compliance Officer is responsible for independent oversight and strategic development of our trading compliance program and provides real-time compliance support to the Trading Department.Because what we do matters - to us as valued professionals and to the millions of people ...

The Compliance Officer role involves performing various duties including policy review and testing as well as preparing annual SEC Rule 38a-1 Reports with the Chief Compliance Officer. · The position will also work on other compliance-related projects and initiatives associated w ...

The Compliance team is responsible for developing, implementing and monitoring compliance policies and procedures tracking regulatory developments advising the business on compliance considerations throughout the investment process The team partners closely with investment profes ...

+ Manage complex strategic projects and significant regulatory initiatives + Develop effective relationships with business partners industry peers trade associations + Collaborate with senior management to understand business needs opportunities assess and articulate regulatory r ...

The Compliance Officer role at MFS involves overseeing the firm's compliance framework related to critical business areas including best execution, fair allocation, trade errors and cross trades. · ...

+Job summary · About Man Group is a global alternative investment management firm focused on pursuing outperformance for sophisticated clients via our Systematic Discretionary and Solutions offerings.+ResponsibilitiesConduct compliance monitoring including Rule 38a-1 testing main ...

The Compliance Officer is responsible for independent oversight and strategic development of our trading compliance program and provides real time compliance support to the Trading Department. · ...

+Job summary · MFS supports employees to reach better outcomes. Employees work together to favor ideas over individuals. · The Compliance Officer oversees trading compliance program. · 8-12+ years of compliance experience. · ...

The Compliance Officer is responsible for independent oversight and strategic development of our trading compliance program at MFS. · ...

We are seeking a skilled and proactive Compliance Officer to join our Compliance team with a focus on Marketing & Advertising Review. This role is ideal for mid-career professionals with prior experience in investment adviser compliance, · Assist and collaborate with senior team ...

The purpose of the Compliance Officer role is to perform a wide range of duties, including Policy Review , Testing, and preparation of the Man US Registered Funds annual SEC Rule 38a-1 Reports with the Funds' Chief Compliance Officer. · ...

The Compliance Officer role is to perform a wide range of duties including Policy Review , Testing and preparation of the Man US Registered Funds annual SEC Rule 38a-1 Reports with the Funds' Chief Compliance Officer. · Conduct compliance monitoring, including Rule 38a-1 testing ...

The role of the Portfolio Compliance Officer will be a member of the Compliance team. This individual will work directly with the Portfolio Construction and Trading teams to resolve daily trading related issues. · Conduct daily, pre-trade and post-trade monitoring for primarily e ...

A leading global investment firm is seeking a mid-level Compliance Officer or Attorney to join its Global Compliance team with a focus on the administration of the firm's compliance program designed to mitigate conflicts of interest. · Providing real time advice to internal globa ...

Suffolk is seeking people who are bold. Curious. Innovative. Caring. Looking for the career opportunity of a lifetime. · We'll challenge and inspire you to be your very best. · ...

A leading global investment firm is seeking a mid-level Compliance Officer or Attorney to join its Global Compliance team with a focus on the administration of the firm's compliance program designed to mitigate conflicts of interest. · ...

This role will join the Investment Adviser Compliance team with responsibilities spanning the Code of Ethics program compliance testing regulatory inquiries and program enhancements. · ...

We are looking for an Officer to provide investment oversight support for investment management functions. The Investment Oversight team monitors regulatory requirements and client-specific guidelines. · Perform pre and post trade compliance monitoring; · Analyze compliance breac ...

We are seeking a Senior Compliance Officer to join our team. The successful candidate will be responsible for ensuring compliance with regulatory guidelines and internal policies. · ...

We are looking for an Officer to provide investment oversight support for the investment management and other functions of SSIM and SSIM Funds Management, Inc. · The Investment Oversight team is responsible for supporting investment compliance, including the monitoring of regulat ...