Compliance Manager

Description

Overview : 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. What you will do :

• 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.

What you will bring :

• 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.

Who we are : We put the best interests of our clients, employees, communities, and environment first in everything we do.

We’re dedicated to fostering a culture of collaboration, diversity, and inclusion that supports employee growth. We believe this creates equal opportunities for our employees and better outcomes for our clients and communities.

We offer a robust benefits package designed to integrate life and work and to support our employees. Benefits include, but are not limited to;

comprehensive medical, dental and vision insurance, paid time off, 401k plan, tuition reimbursement, student loan repayment program, wellness benefits and volunteer programs*.