Company Overview

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).   

The Regulatory Compliance Team

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, conducting the firm wide internal assessment program, managing third-party control 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 while directly managing and leading other team members.  This individual will have demonstrated managerial experience and expertise supporting a global compliance effort on a wide variety of matters. We believe strongly in the development and mentoring of our professionals.

Responsibilities

• Overseeing and managing  global regulatory filings holistically, including:
  • Daily short settling and derivatives-related filings
  • Periodic regulatory filings including Form ADV, 13F, 13H, TICs, and other global filings
• Designing and overseeing internal reporting to ensure various thresholds and limits are monitored and escalated, as appropriate
• Supervising, managing and motivating team members on a daily basis and contributing to their professional development
• Actively identifying and contributing to opportunities to automate, enhance, implement, and maintain our policies and procedures to mitigate risk areas
• Collaborating with the Head of Regulatory Compliance to develop strategic compliance initiatives related to filings and to lead the associated implementations
• Collaborating across departments across the firm to provide guidance and gather insights
• Overseeing regulatory changes (both locally and globally) that will impact the firm’s regulatory reporting

Our Ideal Candidate

• Is able to thrive in a dynamic, fast paced environment and prioritize under tight deadlines
• Is a self-starter that works proactively and thinks both strategically and tactically
• Maintains a superior work ethic
• Has the ability to prioritize and effectively manage competing priorities and projects
• Is a strong leader who prioritizes building and maintaining employee morale, helping employees reach their full potential and inspires employee loyalty
• Effectively collaborates across teams/functions and also works autonomously, with minimal supervision, when appropriate
• Has strong analytical and organizational skills and a strong attention to detail
• Has excellent communication skills – oral and written
• Has a strong executive presence and is able to present and evidence work product in a clear and comprehensive manner
• 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

Qualifications

• Bachelor’s degree preferred
• 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 for both US and Global regulatory bodies
• Experience managing teams and large scale projects

We maintain a friendly, team-oriented environment and place a high value on professionalism, attitude and initiative.