Our client, a top Investment Management Firm located in Boston, is in search of a Senior Compliance Manager to add to their fast growing team. Responsibilities include supervising the development of the US compliance program, ensuring compliance with regulations, and collaborating with all staff. Ideal candidates are motivated, adaptable self-starters comfortable in a fast-paced, small team setting.
The Senior Compliance Manager is responsible for:
- Supervise and support day-to-day compliance operations for registered closed-end funds to ensure timely completion of tasks such as testing and monitoring
- Evaluate marketing materials for compliance
- Manage and aid in reporting to the registered fund Board and Primary Adviser on a periodic basis
- Assist in preparing regulatory filings for registered funds and advisers
- Contribute to annual compliance activities, such as the 206(4)-7 review
- Address compliance-related inquiries from team members and regulators
The Senior Compliance Manager will have the following qualifications:
- Bachelor's Degree in legal studies, accounting, economics, or finance
- 7-10 years of experience supporting alternatives asset management compliance, including Investment Company Act requirements
- Extensive knowledge of the Investment Company Act and the Investment Advisers Act.
- Proficient in Microsoft Office; familiarity with VBA, Python, or other data science languages is a plus
