Compliance Manager

Overview

A leading private investment firm is seeking a Compliance Manager to join its Boston team.

The position is part of the Capital Markets business unit compliance team but will work closely with members of the Capital Markets businesses and global Compliance team.

Key Responsibilities

• Cover compliance for Capital Markets businesses, with an expected focus on the firm’s credit operations
• Address compliance and risk-related matters, including registered fund (mutual / interval vehicle) and private fund compliance
• Administer Restricted List and MNPI protocols
• Partner with the investment staff to trouble-shoot compliance-related questions
• Partner with the Trading Desks to assess trading compliance questions
• Coordinate and oversee regulatory filings, including Form ADV and Form PF, for Capital Markets businesses. This includes:
• Maintaining regulatory filing processes
• Proactively maintaining the centralized filings calendar to ensure timely submission
• Working with business finance, operations, and compliance teams on data compilation
• Helping prepare filings for approval and submission
• Identifying and implementing technology and third-party support solutions.
• Compile Compliance information for (i) Registered Fund / 40 Act reports and questionnaires, and (ii) investor DDQs.

Skills, Knowledge & Experience

• 8+ years of compliance or paralegal experience
• Sound knowledge of registered and private funds, including 40 Act and credit vehicles
• Substantial experience with regulatory filings including Form ADV and Form PF
• Dedicated team player with a strong sense of ownership and follow-through skills
• Collegial and team-oriented
• Capacity to handle highly confidential and sensitive information
• Detail-oriented, conscientious and energetic professional with the ability to think creatively
• Strong written communication skills
• Excellent organizational and time management skills; ability to prioritize multiple projects with high attention to detail and adaptability
• Customer service orientation with strong interpersonal skills with the capacity to interact with outside parties and personnel across all levels of the firm
• Strong problem-solving and analytical skills
• Ability to prioritize responsibilities and work under deadlines