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Compliance Manager

  • Category: Other
  • Location: Boston, Massachusetts
  • Work Arrangement: Hybrid
  • Type: Full-time/Flex

Global Investment Management Company seeking a Compliance Manager.
 

Hours/Schedule:  Full-time, flexible
 

Job Type: Direct

 

Location Requirements: Hybrid    

 
Job Description: 
The Compliance Manager oversees the day-to-day review and approval of mutual fund and separate account sales literature and advertising. This position requires a full understanding of the regulatory requirements associated with the review of mutual fund and investment advisor advertising and sales literature. This role involves frequent interaction with all areas of the Firm as well as affiliated firms, external firms, and regulators. This is a hybrid position located in our Boston, MA office.
 

 
Responsibilities:  

 

  • Manage and work on complex projects and programs of diverse scope.
  • Apply existing knowledge of state-of-the-art risk, legal, and/or compliance principles and methodologies.
  • Translate business goals and objectives into compliance initiatives and then manage the development and implementation of initiatives.
  • Maintain the relevant portions of the Firm’s compliance manuals as they relate to advertising and sales materials.
  • Apply sophisticated analysis regarding advertising law, rule and regulation
  • Work with other members of the Firm as well as regulators.
  • Anticipate changing business requirements and design, develop and introduce new reporting and analysis.
  • Provide guidance and development to team members and support a collaborative culture.
  • Develop, lead and manage a team of compliance reviewers.

 

Qualifications:  

 

  • Minimum 7+ years of relevant industry experience, including demonstrated experience specific to advertising compliance review.
  • Strong interpersonal, communication and leadership skills.
  • Forward thinker with strong industry knowledge and ability to identify, synthesize and act upon strategic information and changes with the environment.
  • Demonstrated decision-making, problem-solving, and non-linear thought analysis, and dialogue; collaborate with others.
  • 2 years of supervisory management experience, strongly preferred.
  • Knowledge of FINRA and SEC marketing and advertising rules.
  • Knowledge of GIPS standards.
  • Excellent writing, presentation, organizational and negotiating skills.
  • Ability to multi-task and to work under pressure.
  • Series 7 and 24 required.

 

 

FlexProfessionals respects and seeks to empower each individual and support the diverse cultures, perspectives, skills and experiences of its candidate network. FlexProfessionals does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. The candidates whose resumes are shared with our business clients are selected on the basis of qualifications, merit, and business need.  

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