Senior Manager, Investment Compliance - Boston, United States - Ceres Group

Ceres Group Boston, United States

1 week ago

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:

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).

Advise:

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.

Train:

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.

Other:

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.

Qualifications:

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 motivate and develop staff resources, including setting priorities, performance levels, expectations, goals, professional development, etc.

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

1 week ago

Ceres Group Boston, United States

We 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 Investment Compliance Analyst

1 week ago

Manulife and John Hancock Boston, United States

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 to our community investments, we lead with values throughout our business. To help us stand out ...
Senior Investment Compliance Analyst

1 week ago

Manulife Financial Corporation Boston, United States

The 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 Manager, Investment Compliance

2 weeks ago

CERES Group Boston, United States

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 ...
Senior Investment Compliance Analyst

4 days ago

Manulife and John Hancock Boston, United States

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 to our community investments, we lead with values throughout our business. To help us stand out ...
Senior Investment Compliance Analyst

4 days ago

Manulife Boston, United States

Manulife · 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

1 week ago

Manulife Boston, United States

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 to our community investments, we lead with values throughout our business. To help us stand out ...
Senior Investment Compliance Analyst

1 week ago

Manulife Boston, United States

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 to our community investments, we lead with values throughout our business. To help us stand out ...
Senior Investment Compliance Analyst

1 week ago

Manulife Insurance Malaysia Boston, United States

Senior 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 ...
Portfolio Compliance Officer, Mercer Investments

2 weeks ago

Clark Insurance Boston, United States

Company: · 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 ...
Portfolio Compliance Officer, Mercer Investments

6 days ago

Marsh & McLennan Companies Boston, United States

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, where you were raised or ...
Portfolio Compliance Officer, Mercer Investments

1 week ago

Clark Insurance Boston, United States

Company: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, ...
Compliance Analyst

3 weeks ago

Manulife Insurance Malaysia Boston, United States

Vous cherchez un milieu de travail axé sur le soutien et la collaboration, avec des équipes formidables et des gestionnaires inspirants? Vous êtes au bon endroit. Nous sommes à la recherche de personnes ambitieuses qui partagent nos valeurs et qui veulent améliorer le quotidien d ...
Compliance Specialist

1 week ago

Ceres Group Boston, United States

Responsible for providing the independent monitoring of investment compliance requirements so as to ensure the firms ongoing compliance; advise key business units in related regulatory and client compliance requirements; train investment compliance professionals and key business ...
Compliance Manager

3 weeks ago

HarbourVest Partners LLC. Boston, United States

Job Description Summary · For over forty years, HarbourVest has been home to a committed team of professionals with an entrepreneurial spirit and a desire to deliver impactful solutions to our clients and investing partners. As our global firm grows, we continue to add individual ...
Director, Compliance

1 week ago

BPCE Boston, United States

What you'll do: · Enterprise Compliance and Risk Program (ECRP) · * Preparing summaries of Compliance Committee materials and briefing notes for the chair of the Compliance Committee. · * Analyzing the results of the various elements of the ECRP in order to identify areas of futu ...
Sr. Compliance Manager

3 weeks ago

Boston Partners Global Investor, Inc. Boston, United States

Position: Sr. Compliance Manager · Department: Compliance · Report to: Chief Compliance Officer · Company Summary: · Boston Partners is a global investment advisor with $103 billion in AUM and 175 employees. The firm was founded in 1995 and has its main office in Boston with othe ...
CRD Compliance Consultant

1 week ago

Ceres Group Boston, United States

Position Overview: · The Compliance Consultant will work with members of the Compliance team and other internal teams on a project to develop and implement a new pre-and post-trade compliance process. The role will review existing and new client mandates and investment guidelines ...
Compliance Analyst

3 weeks ago

Boston Partners Global Investors, Inc. Boston, United States

Position: Compliance Analyst · Department: Compliance · Report to: Sr. Compliance Manager · Location: Boston · Company Summary: · Boston Partners is a global investment advisor with $95 billion in AUM and a longstanding reputation for superior client service. The organization is ...
Compliance Consultant CRD

1 week ago

Ceres Group Boston, United States

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 te ...