Job Title: Compliance Specialist
Location: Boston, MA (Hybrid - 3 days in-office per week)
Salary: $75,000 - $80,000/year + Bonus
Industry: Investment Management (Institutional Clients)
Company Overview:
Our client is a leading investment firm specializing in providing high-quality financial services to institutional clients. With a focus on compliance excellence, they're looking for a diligent Compliance Specialist to join their team and assist with key regulatory functions.
Position Overview:
As a Compliance Specialist, you will play a critical role in supporting the Head of Compliance in managing the firm's regulatory requirements. You will assist with a variety of compliance-related tasks, including regulatory filings, corporate actions, and the preparation of Form ADV. This position offers an excellent opportunity to develop your career in a dynamic and supportive environment within the investment management industry.
Key Responsibilities:
- Assist the Head of Compliance with day-to-day compliance operations, ensuring adherence to regulatory guidelines.
- Prepare and submit regulatory filings, including but not limited to Form ADV and other required documents.
- Support the corporate actions process, ensuring proper compliance with relevant regulations.
- Maintain and update compliance-related documentation and records.
- Monitor and track changes in regulatory requirements to ensure the firm's continued compliance.
- Work closely with internal departments to ensure smooth and timely completion of compliance-related tasks.
- Participate in internal audits and risk assessments as needed.
Qualifications:
- Bachelor's degree in Business, Finance, Accounting, or related field.
- 1-3 years of experience in compliance, regulatory affairs, or a related field, preferably in the investment management or financial services industry.
- Knowledge of regulatory filings, including Form ADV and corporate actions.
- Strong attention to detail and organizational skills.
- Ability to work both independently and as part of a team.
- Strong communication skills, both written and verbal.
- Proficiency in Microsoft Office Suite and compliance-related software.
Additional Information:
- Hybrid work schedule with 3 days in-office per week.
- Competitive salary and bonus structure.
- Opportunity for professional development and career growth in a well-established firm.
