We are a Boston-based investment manager that provides global and international equity investment strategies and fund products to institutional investors such as pension plans, endowments, foundations, and registered/unregistered commingled investment funds. We are a registered investment adviser with the U.S. Securities and Exchange Commission (SEC), and a registered commodity trading advisor and commodity pool operator with the U.S. Commodity Futures Trading Commission (CFTC).
We help to oversee the compliance related activities associated with managing the complex legal and regulatory needs of the firm on a global basis. We are responsible for managing the firm’s compliance policies and procedures, meeting regulatory reporting obligations, reviewing the firm’s marketing materials, managing third-party examinations and administering the Code of Ethics. Completing these responsibilities requires extensive collaboration with colleagues throughout the organization.
We are seeking an experienced compliance professional to join our team to provide pro-active compliance support to our institutional asset management business with a primary focus on regulatory filings. The position will afford an individual with opportunities to apply their experience and analytical skills to a wide variety of projects and enhancements. This individual will have demonstrated expertise in supporting a global compliance effort on a wide variety of matters. We believe strongly in the development and mentoring of our professionals.
Completing global regulatory filings holistically, including:
Daily short settling and derivatives-related filings
Periodic regulatory filings including Form ADV, CTA-PR, 13F, 13H, TICs, and other global filings
Collaborating with the Director of Filings to oversee internal reporting processes and workflows. Such efforts include aiding in the coordination and oversight of various team members working collaboratively to ensure that various thresholds and limits are monitored, addressed and escalated, as appropriate.
Collaborating with the Business Technologies team to enhance current reporting capabilities for filings, including effectively communicating the results of such analysis, documenting corresponding requirements and designing and implementing associated workflow enhancements.
Motivating team members on a daily basis and contributing to their professional development, including through providing formal and informal managerial oversight and guidance
Actively identifying and contributing to opportunities to automate, enhance, implement, maintain and document our filings-related policies and procedures to mitigate risk areas
Collaborating with and reporting to the Director of the Filings team to develop, deploy and help to oversee strategic compliance initiatives related to filings and to assist with the associated implementations. Such work will include proactively developing project timelines and milestones and providing managerial oversight to ensure broader team adherence to such requirements.
Using third-party disclosure tools used to assess and complete numerous daily filings
Communicating effectively with departments across the firm to conduct research, provide guidance and design robust, well-documented workflows.
Overseeing internal adaptations to regulatory changes (both locally and globally) that impact the firm’s regulatory reporting
Is able to thrive in a dynamic, fast paced environment
Is a strong leader who prioritizes building and maintaining employee morale, helping employees reach their full potential and inspires employee loyalty
Has consistently demonstrated ability to manage and lead projects through to completion
Is a self-starter that works proactively and thinks both strategically and tactically
Maintains a superior work ethic
Effectively collaborates and communicates across teams/functions and also works autonomously, with minimal supervision, when appropriate
Has strong analytical and organizational skills
Has strong attention to detail
Has excellent communication skills – oral and written
Has a strong executive presence and is able to present and evidence work strategy and product in a clear and comprehensive manner, including to more senior audiences as well as to supervised and other colleagues
Identifies opportunities to improve existing processes and procedures
Is knowledgeable of, and experienced with, industry best practices in compliance surrounding regulatory filing matters and changes
Bachelors degree required
7+ years of regulatory compliance experience, with at least 5 years at an established investment manager
Has a strong knowledge of the securities laws (e.g., the Investment Advisers Act of 1940) and experience with CFTC regulations
Extensive experience working on regulatory filing submissions to both US and Global regulatory bodies
Experience managing large scale while also completing day-to-day requirements
