Senior Compliance Manager

Found in: Appcast Linkedin GBL C2 - 2 weeks ago

Boston, United States Partners Capital Full time

Partners Capital is seeking a Compliance Principal to join our US Compliance team to contribute to the development and monitoring of the closed-end Registered Fund US compliance program and ensure adherence to regulations and to industry best practices. The person will interact heavily on a daily basis with all employees, including Partners. As a fast growing, 250+ person company, we seek someone who is motivated, a self-starter, adaptable and comfortable working on a small team in a fast-paced, entrepreneurial environment.


Position Responsibilities

The Compliance Principal will primarily be responsible for:

  • Oversee and assist with day to day registered closed-end fund compliance program to ensure all actions are completed within deadlines e.g. testing, monitoring, etc.
  • Draft and update relevant compliance policies and procedures
  • Review marketing materials
  • Oversee and assist with periodic reporting to registered fund Board and Primary Adviser
  • Assist with the preparation of registered fund and adviser regulatory filings
  • Assist in the preparation of annual compliance matters, e.g. annual 206(4)-7 review
  • Provide relevant compliance training to internal team
  • Respond to compliance-related inquiries from team members.
  • Respond to inquiries from regulators
  • Conduct research on new and upcoming compliance rules and matters and provide recommendations to relevant team members


Qualifications / Attributes

  • Bachelor’s Degree, concentrating in finance, accounting, economics, or legal studies is preferred.
  • 7-10 years of experience supporting an alternatives asset management compliance program that includes Investment Company Act requirements (experience with tender offer or interval funds a plus).
  • Experience in a relevant legal role or a compliance consulting role will also be considered
  • Extensive knowledge of the Investment Company Act and the Investment Advisers Act
  • High proficiency in Microsoft Office (Excel, PowerPoint, Word, Outlook); experience with VBA, Python, or other data science language is a major boost
  • Excellent problem-solving and interpersonal sills
  • Strong ethical standards
  • Ability to thrive in a collaborative working environment
  • Intellectually curious and a team player who is willing to do whatever it takes to contribute to the success of the business.


Benefits

Partners Capital is committed to being a great place to work. We are focused both on wellbeing and professional growth. You can expect professional development and career progression opportunities, competitive compensation, exceptional benefits, and a flexible “results-focused” working model. Our benefits package includes medical, dental, and vision insurance, short and long-term disability insurance, life insurance, flexible spending accounts, commuter benefits, paid time off and a 401(k) plan with employer matching. The Firm also supports global philanthropy via a charity program and volunteer day. In addition, we champion a variety of wellness and social events.


Contact Details

Please send your CV to NorthAmericaRecruiting@partners-cap.com with the subject: Senior Compliance Manager – Registered Funds. Further information about Partners Capital is available on our website www.partners-cap.com.

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