Compliance Associate
2 weeks ago
Compliance Associate, Investments, Boston/ Hybrid (2 days per week in office, 3 remote)
About the Company/Role: Well established investment advisory based in Boston has a newly created Compliance Associate opportunity to join their growing compliance team, currently comprised of the Chief Compliance Officer and a Senior Compliance Associate. The CCO is known to be an excellent manager and mentor and the Sr. Compliance Associate will be an outstanding resource and mentor. The firm has a hybrid model- typically 2 days per week in office. The firm is boutique, with a small team and a lovely culture with excellent work/ life balance. This newly created role is designed to be interwoven throughout the organization, to provide additional compliance support, and to help with an increasing need for compliance review of marketing materials.
What you'll do: help with compliance oversight across Code of Ethics, personal trading, review of outside investments statements, proxy voting, custody, and portfolio compliance. Firm has a new Client Development Officer scaling up marketing efforts and you’ll also work on review of marketing collateral for adherence to firm compliance policies. Coordinate quarterly and annual compliance training for firm employees.
About you: you have a Bachelor’s degree with 1-3 years of financial services compliance experience. A plus if you have expertise in compliance review of marketing materials within an SEC regulated setting. Seeking strong writing and proofreading skills and an exceptional attention to detail in addition to a solid basic understanding of the financial markets and related terms. Ability to multitask and to utilize strong organizational skills. High proficiency with MS Office, especially Excel and generally be tech savvy. Experience with or capability to learn their compliance system. * please note, this is not a role for an attorney **role is re-posted, hiring manager put the role on hold initially to deal with an audit- they are ready to interview and hire as of mid June, so we are considering candidates now who meet the very narrow specifications listed in the posting.
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Compliance Associate
2 months ago
Boston, United States NextPhase Search Full timeCompliance Associate, Investments, Boston/ Hybrid (2 days per week in office, 3 remote)About the Company/Role: Well established investment advisory based in Boston has a newly created Compliance Associate opportunity to join their growing compliance team, currently comprised of the Chief Compliance Officer and a Senior Compliance Associate. The CCO is known...
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Compliance Associate
4 weeks ago
Boston, United States NextPhase Search Full timeCompliance Associate, Investments, Boston/ Hybrid (2 days per week in office, 3 remote)About the Company/Role: Well established investment advisory based in Boston has a newly created Compliance Associate opportunity to join their growing compliance team, currently comprised of the Chief Compliance Officer and a Senior Compliance Associate. The CCO is known...
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Compliance Associate
4 weeks ago
Boston, United States NextPhase Search Full timeCompliance Associate, Investments, Boston/ Hybrid (2 days per week in office, 3 remote)About the Company/Role: Well established investment advisory based in Boston has a newly created Compliance Associate opportunity to join their growing compliance team, currently comprised of the Chief Compliance Officer and a Senior Compliance Associate. The CCO is known...
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Compliance Associate
2 months ago
Boston, United States NextPhase Search Full timeCompliance Associate, Investments, Boston/ Hybrid (2 days per week in office, 3 remote)About the Company/Role: Well established investment advisory based in Boston has a newly created Compliance Associate opportunity to join their growing compliance team, currently comprised of the Chief Compliance Officer and a Senior Compliance Associate. The CCO is known...
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Compliance Associate
2 weeks ago
Boston, United States NextPhase Search Full timeCompliance Associate, Investments, Boston/ Hybrid (2 days per week in office, 3 remote)About the Company/Role: Well established investment advisory based in Boston has a newly created Compliance Associate opportunity to join their growing compliance team, currently comprised of the Chief Compliance Officer and a Senior Compliance Associate. The CCO is known...
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Compliance Associate
2 weeks ago
Boston, United States Bracebridge Capital Full timeBracebridge Capital, LLC is a leading hedge fund manager with approximately $12 billion of net assets under management. The firm pursues investment strategies primarily within the global fixed income markets with the objectives of capital preservation and absolute return without significant correlation to equity, interest rate and foreign exchange markets....
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Compliance Associate
1 month ago
Boston, United States Cambridge Associates LLC Full timeTHE OPPORTUNITY Under the guidance of the Chief Compliance Officer and Compliance Director, the Compliance Associate is responsible for the coordination, ongoing development and administration of employee reporting, web-based compliance training, and anti-money laundering (AML) and customer due-diligence programs. The Compliance Associate will also...
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Compliance Associate
4 weeks ago
Boston, United States Cambridge Associates LLC Full timeTHE OPPORTUNITY Under the guidance of the Chief Compliance Officer and Compliance Director, the Compliance Associate is responsible for the coordination, ongoing development and administration of employee reporting, web-based compliance training, and anti-money laundering (AML) and customer due-diligence programs. The Compliance Associate will also...
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Compliance Associate
2 days ago
Boston, United States Fanning Personnel Full timeCompliance Associate opening located at a wealth management firm in BostonI’m a Senior Recruiter at Fanning- Masis. Since 1968, we have been assisting our client companies, investment firms in and around Boston, with their candidate recruitment process. This scenario has enabled us to serve as a valuable resource to an individual who may be actively or...
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Compliance Associate
2 weeks ago
Boston, United States Partners Capital Full timeThe Compliance Associate in Boston will join our US Compliance team to contribute to the development and monitoring of the US Compliance program and ensure adherence to regulations and industry best practices. The person will interact heavily on a daily basis with all team members, including the Global Compliance team and Partners. As a fast growing, 250+...
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Compliance Associate
1 month ago
Boston, United States Bain Capital Public Equity, L.P. Full timeTITLE: Compliance Associate DEPARTMENT: Compliance and Legal LOCATION: Boston, MA Bain Capital Overview We are one of the world's leading private multi-asset alternative investment firms with approximately $100 billion in assets under management that creates lasting impact for our investors, teams, businesses and the communities in which we live. Founded...
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Compliance Associate
4 weeks ago
Boston, United States Bain Capital Public Equity, L.P. Full timeTITLE: Compliance Associate DEPARTMENT: Compliance and Legal LOCATION: Boston, MA Bain Capital Overview We are one of the world's leading private multi-asset alternative investment firms with approximately $100 billion in assets under management that creates lasting impact for our investors, teams, businesses and the communities in which we live. Founded...
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Compliance Associate
4 days ago
Boston, United States Partners Capital Full timeThe Compliance Associate in Boston will join our US Compliance team to contribute to the development and monitoring of the US Compliance program and ensure adherence to regulations and industry best practices. The person will interact heavily on a daily basis with all team members, including the Global Compliance team and Partners. As a fast growing, 250+...
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Compliance Associate
1 week ago
Boston, United States Bain Capital Full timeTITLE: Compliance Associate DEPARTMENT: Compliance and Legal LOCATION: Boston, MA Bain Capital Overview We are one of the world's leading private multi-asset alternative investment firms with approximately $185 billion in assets under management that creates lasting impact for our investors, teams, businesses and the communities in which we live. Founded in...
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Compliance Associate
2 weeks ago
Boston, United States Bain Capital Full timeTITLE: Compliance Associate DEPARTMENT: Compliance and Legal LOCATION: Boston, MA Bain Capital Overview We are one of the world's leading private multi-asset alternative investment firms with approximately $185 billion in assets under management that creates lasting impact for our investors, teams, businesses and the communities in which we live. Founded...
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Senior Compliance Associate
5 days ago
Boston, United States Westfield Capital Management Full timeSenior Compliance Associate The Senior Compliance Associate will work with the Compliance team to implement the firms compliance program. The Senior Associate will be a key member of the Compliance team with opportunities for advancement within Compliance subject to meeting agreed upon growth goals. The Associate must interact with employees at all levels of...
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Senior Compliance Associate
2 weeks ago
Boston, United States Westfield Capital Management Full timeSenior Compliance Associate – The Senior Compliance Associate will work with the Compliance team to implement the firm’s compliance program. The Senior Associate will be a key member of the Compliance team with opportunities for advancement within Compliance subject to meeting agreed upon growth goals. The Associate must interact with employees at all...
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Senior Compliance Associate
1 week ago
Boston, United States Westfield Capital Management Full timeSenior Compliance Associate – The Senior Compliance Associate will work with the Compliance team to implement the firm’s compliance program. The Senior Associate will be a key member of the Compliance team with opportunities for advancement within Compliance subject to meeting agreed upon growth goals. The Associate must interact with employees at all...
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Compliance Associate
3 days ago
Boston, United States Deerpath Capital Full timeCompany DescriptionDeerpath Capital is a leading direct lending firm specializing in providing first lien, senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market. Deerpath has investment offices in New...
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Compliance Associate
23 hours ago
Boston, United States Deerpath Capital Full timeCompany DescriptionDeerpath Capital is a leading direct lending firm specializing in providing first lien senior debt financing to middle market companies. Deerpath is focused on providing debt capital for acquisitions, refinancings, ownership transitions and growth capital to companies in the U.S. lower middle market. Deerpath has investment offices in New...
