Senior Associate, Compliance

3 weeks ago


Boston, United States Hercules Technology Growth Capital Full time

Position Summary. The Legal and Compliance team seeks a full-time Senior Associate to report to the Chief Compliance Officer ("CCO") and support the Company's regulatory compliance reporting, testing and oversight functions.

Position Overview. This position will work closely with the CCO, Deputy Compliance Officer and outside compliance consultants to ensure proper oversight of the compliance program and its activities. Specific responsibilities may include some or all of the following responsibilities:

* Assist with the development of ongoing policies, procedures and monitoring in accordance with applicable SEC, NYSE and other regulations.
* Perform routine and ad hoc compliance testing via the Company's compliance testing software.
* Review personal trading and other activities requiring reporting and/or preclearance for all employees.
* Maintain detailed records of compliance activity.
* Assist with the development and running of regular and ad hoc compliance trainings.
* Assist with portfolio company due diligence related to compliance with AML/KYC policies and procedures.
* Assist with the management and oversight of recordkeeping and record destruction in accordance with applicable regulations.
* Work to ensure relevant regulatory filings, including NYSE Affirmations, Form ADV, Form PF and other filings, are submitted appropriately.
* Respond to issues and questions identified by employees, compliance software models and/or outside compliance consultants.
* Assist with the preparation of compliance and risk reporting to the board of directors.
* Support the annual review of the compliance program in accordance with Rule 38a-1 of the 1940 Act and Rule 206(4) of the Advisers Act.
* Assist with compliance assurance matters and examination readiness.
* Communicate to the Chief Compliance Officer any identified issues and risks that need to be addressed.
* Work on long term projects aimed at strengthening the compliance program.

General Qualifications

* Bachelor's degree and 4 - 6 years of relevant experience at an asset manager, law firm or compliance consultant.
* Working knowledge of regulatory compliance, with preference for 1940 Act/Advisers Act regulation.
* Capacity to professionally handle highly confidential and sensitive information.
* Dedicated team player with a strong sense of ownership, self-assuredness, and follow-through skills.
* Capacity to professionally handle highly confidential and sensitive information.
* Detail-oriented, conscientious and energetic professional with the ability to think creatively.
* Strong written communication skills.
* Ability to prioritize responsibilities and work under deadlines in a fast-paced, high-growth, entrepreneurially-oriented work environment.
* 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.



  • Boston, United States Cambridge Associates LLC Full time

    THE 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...


  • Boston, United States NextPhase Search Full time

    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...

  • Compliance Associate

    2 weeks ago


    Boston, United States NextPhase Search Full time

    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...

  • Compliance Associate

    3 weeks ago


    Boston, United States NextPhase Search Full time

    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...

  • Compliance Associate

    3 weeks ago


    Boston, United States NextPhase Search Full time

    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...


  • Boston, United States Boston Partners Global Investors, Inc. Full time

    Position: Sr. Compliance Manager Department: Compliance Report to: Chief Compliance Officer Company Summary: Boston Partners is a global investment advisor with $103 billion in AUM and 175 employees. The firm was founded in 1995 and has its main office in Boston with other offices in New York, California, and London. Boston Partners is an indirect, wholly...


  • Boston, United States Boston Partners Global Investors, Inc. Full time

    Position: Sr. Compliance Manager Department: Compliance Report to: Chief Compliance Officer Company Summary: Boston Partners is a global investment advisor with $103 billion in AUM and 175 employees. The firm was founded in 1995 and has its main office in Boston with other offices in New York, California, and London. Boston Partners is an indirect, wholly...


  • Boston, United States AVANGRID , Inc. Full time

    The Senior NERC Compliance Analyst reports directly to the Manager OSW OPS Reliability Assurance and will assist with all aspects of AVANGRID Renewables Offshore Reliability Assurance and Compliance Programs. The Reliability Assurance Programs incl Compliance Analyst, Compliance, Analyst, Senior, Operations, Business, Technology


  • Boston, United States Manulife Financial Corporation Full time

    The core job responsibility for a Senior Compliance Analyst (non-exempt) is to monitor the John Hancock Group of Funds compliance activities, including sub-adviser and service provider oversight within a manager of managers structure. To ensure the f Compliance Analyst, Investment, Compliance, Analyst, Senior, Monitoring, Technology


  • Boston, United States Manulife Financial Corporation Full time

    The core job responsibility for a Senior Compliance Analyst (non-exempt) is to monitor the John Hancock Group of Funds compliance activities, including sub-adviser and service provider oversight within a manager of managers structure. To ensure the f Compliance Analyst, Investment, Compliance, Analyst, Senior, Monitoring, Technology


  • Boston, United States Harbourvest Full time

    Senior Manager, Tax Compliance page is loaded Senior Manager, Tax Compliance Apply locations Boston time type Full time posted on Posted 11 Days Ago job requisition id R1504 Job Description Summary For over forty years, HarbourVest has been home to a committed team of professionals with an entrepreneurial spirit and a desire to deliver impactful solutions to...


  • Boston, United States Bain Capital Public Equity, L.P. Full time

    TITLE: 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...


  • Boston, United States Bain Capital Public Equity, L.P. Full time

    TITLE: 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 in...


  • Boston, United States Allspring Global Investments Full time

    Description Elevate Your Career Work where your ideas have impact COMPANY Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and...


  • Boston, United States Iberdrola Energie Deutschland GmbH Full time

    Senior NERC Compliance Analyst page is loaded Senior NERC Compliance Analyst Apply locations United States Of America, Massachusetts, Boston posted on Posted 2 Days Ago job requisition id R-06046 Title: Senior NERC Compliance Analyst Location: Office, Boston, MA Salary:The base salary range for this position is dependent upon experience and location, ranging...


  • Boston, United States Allspring Full time

    Elevate Your Career Work where your ideas have impact COMPANY Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and positive outcomes....

  • Compliance Officer

    2 days ago


    Boston, United States MFS Investment Management Full time

    THE ROLE The Compliance Officer manages a team of compliance professionals to ensure that MFS manages client accounts in a manner consistent with applicable legal, regulatory, and client-imposed requirements, and monitors MFS shareholdings and prepares and files reports with global regulators and issuers as to the extent required. The person interacts with...


  • Boston, United States Sevita Full time

    At Sevita we believe that everyone deserves to live well. For more than 50 years, our team members have provided home and community-based health care for adults, children and their families across the United States. As a member of our corporate team, you'll help shape the work that supports how our business runs, the services we provide, and the...


  • Boston, United States CERES Group Full time

    Job Summary: This position is responsible for managing a team of investment compliance professionals in their independent monitoring of investment compliance requirements so as to ensure the firm's ongoing compliance; advise key business units in related regulatory and client compliance requirements; train investment compliance professionals and key business...


  • Boston, United States Ceres Group Full time

    Job Summary: This position is responsible for managing a team of investment compliance professionals in their independent monitoring of investment compliance requirements so as to ensure the firm's ongoing compliance; advise key business units in related regulatory and client compliance requirements; train investment compliance professionals and key...