A global investment management with over $50B in AUM and 300+ employees across the globe is looking for a Senior Compliance Officer to join their team. The Compliance Officer will assist the Chief Compliance Officer with developing and monitoring the firm's US compliance program. This fast growing firm desires someone who is motivated, adaptable, and able to work in a fast-paced environment. This role will be performed on a hybrid schedule in Boston, MA.
Responsibilities :
- Prepare and submit regulatory filings such as Form ADV, 13F, PF, PQR & PR
- Monitor employee trades, track gifts/entertainment, and review discretionary account trades
- Review marketing materials
- Respond to any compliance related inquiries from other team members
- Oversee U.S. client account opening and onboarding process
Qualifications :
- 6+ years of relevant compliance experience
- Strong knowledge of SEC, CFTC, NFA rules and regulations
- Excellent problem solving skills and strong ethical standards
