Compliance Specialist

4 weeks ago

Boston, United States Ceres Group Full time

Responsible for providing the independent monitoring of investment compliance requirements so as to ensure the firms ongoing compliance; advise key business units in related regulatory and client compliance requirements; train investment compliance professionals and key business stakeholders on regulatory and client requirements; and support the management of the investment compliance group by providing guidance and direction to its staff.

Principal Responsibilities:

Using in depth knowledge of regulatory requirements relating to investment compliance for both US and non-US jurisdictions (e.g., 1940 Act Funds, UCITS, ERISA) and by applying an understanding of client requirements, perform the following responsibilities:

Monitor:

* Work on complex, strategic projects and significant regulatory initiatives.
* Actively review and monitor numerous clients' investment guidelines and regulatory restrictions (e.g., Investment Management Agreement, Prospectus, Statement of Additional Information).
* Review and analyze the daily investment compliance monitoring of clients' portfolios and regulated entities employing a variety of automated and manual processes.
* Review, identify and research compliance exceptions from which independent conclusions are made and reasonable solutions are proposed to the senior managers.
* Draft and review business requirements and provide feedback of key rules/reports utilized for compliance monitoring to ensure accuracy of the applicable requirements.
* Work with others in Compliance and across the firm in the review and comment of client investment guidelines and RFPs.

Advise:

* Keep abreast of global regulatory updates and interpretive releases. With senior managers, collaborate with Legal to assess implications of new rules and regulations related to assigned area, apprises others of developments, and recommend courses of action as appropriate.
* Examine department workflow and make recommendations on ways to increase efficiency while maintaining internal controls. Actively seek tools and technology to improve current operations and proposes same to managers.
* Participate in specialized projects that involve interactions across the firm and its subsidiary companies. Address concerns, present solutions and identify ways to mitigate risk exposure.

Train:

* Work with the Investment Compliance team's key customer groups (trading, portfolio management, legal, client operations, investment operations, Portfolio Risk Monitoring, etc.). Research inquiries from same, and provide on-going training on regulations and/or clients' requirements.
* Provide investment compliance training to new employees and facilitate cross training within the team.

Qualifications:

* Bachelor's Degree or equivalent work experience. Must have at least 7 years work experience in investment management, financial services or industry-related compliance experience. Working knowledge of investment management operations and advisory functions is required as is significant prior exposure to investment management operations and its related rules and regulations in a compliance-related function.
* Excellent interpersonal, organizational, communication, customer-service, team-working and problem-solving skills. Must be able to write effectively, and present research, analysis and conclusions in a persuasive manner.
* Proven ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional teams throughout the organization. Demonstrated ability to work effectively with outside parties at all organizational levels. Own the delivery of projects while also operating successfully in a cross-functional, often international, team environment.
* Proven analytical skills with the ability to make independent decisions, develop creative solutions to problems and propose implementation of same is essential.
* Able to effectively drive solutions throughout the organization and present ideas in an effective, persuasive manner. Escalate issues and advocate for solutions.
* Understanding of the business operations and practices, procedures and controls specific to the business units supported is required. Must be aware of best practices as well as evolving issues within scope of the position.
* Solid presentation skills are required.
* Demonstrated project management skills and the ability to analyze operational effectiveness are required.
* Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in the firm'ss systems as required to perform the duties of this position, such as Bloomberg. Must be able to conduct on-line research and to utilize applicable tools.
* OMS vendor agnostic. Open to Charles River(CRD), BlackRock Aladdin, Linedata Longview, EZE, Fidessa LatentZero, Sentinel, Miniriva.

  • Compliance Specialist

    1 month ago

    Boston, United States Storm2 Full time

    Role: Compliance Specialist Industry: InvestTech Location: Boston, hybrid Storm2 are partnered with a VC backed InvestTech with huge potential. My client are looking for an experienced marketing compliance specialist ready to take on the essential role of optimizing the effectiveness and efficiency of the content marketing team. In this role you will report...

  • Compliance Specialist

    1 month ago

    Boston, United States Storm2 Full time

    Role: Compliance Specialist Industry: InvestTech Location: Boston, hybrid Storm2 are partnered with a VC backed InvestTech with huge potential. My client are looking for an experienced marketing compliance specialist ready to take on the essential role of optimizing the effectiveness and efficiency of the content marketing team. In this role you will...

  • Compliance and Credentialing Specialist

    1 week ago

    Boston, United States Boston Public Health Commission Full time

    The mission of the Boston Public Health Commission (BPHC) is to work in partnership with communities to protect and promote the health and well-being of all Boston residents, especially those impacted by racism and systemic inequities. The BPHC envisions a thriving Boston where all residents live healthy, fulfilling lives free of racism, poverty, violence,...

  • Compliance and Credentialing Specialist

    1 week ago

    Boston, United States Boston Public Health Commission Full time

    Job Description The mission of the Boston Public Health Commission (BPHC) is to work in partnership with communities to protect and promote the health and well-being of all Boston residents, especially those impacted by racism and systemic inequities. The BPHC envisions a thriving Boston where all residents live healthy, fulfilling lives free of...

  • Compliance Specialist I

    1 month ago

    Boston, United States PSG Global Solutions Full time

    Description We're looking for a Compliance Specialist I , working in Pharmaceuticals and Medical Products industry in 500 Soldiers Field Road, Boston, Massachusetts, 02134, United States . Performs audits necessary to ensure the compliance of manufacturing procedures to in-house specifications and government regulation. Conducts internal audits...

  • Compliance Specialist

    1 week ago

    Boston, United States Clark Insurance Full time

    Company: Mercer Description: Mercer, a place where extraordinary individuals can do their best work and lead their best lives! We believe in camaraderie and collaboration, no matter what your role, level, experience or background. Mercer is seeking candidates for the following position based in the New York(preferred) or Boston office: Compliance...

  • Retail Compliance Specialist

    6 days ago

    Boston, United States C3 Industries Full time

    JOB SUMMARY: The Retail Compliance Specialist is responsible for ensuring that assigned retail stores are operating in compliance with state and local ordinances, rules and regulations. JOB DUTIES: Core duties and responsibilities include the following. Other duties may be assigned. - Ensure retail stores and systems are in line with state and local...

  • IT Compliance

    3 weeks ago

    Boston, United States Delphi-US Full time

    Title: IT Compliance & Risk Management Specialist (Contract) - Job#4937Location: Boston, MA/Hybrid remote Job Description: Our client a leading Financial Institution located in the Boston, MA has an immediate opening for an IT Compliance & Risk Management Specialist to join their team in a hybrid remote capacity. The IT Compliance & Risk Management...

  • IT Compliance

    15 hours ago

    Boston, United States Delphi-US Full time

    Title: IT Compliance & Risk Management Specialist (Contract) - Job#4937Location: Boston, MA/Hybrid remote Job Description: Our client a leading Financial Institution located in the Boston, MA has an immediate opening for an IT Compliance & Risk Management Specialist to join their team in a hybrid remote capacity. The IT Compliance & Risk Management...

  • Compliance Specialist

    1 week ago

    Boston, United States Clark Insurance Full time

    Company: Mercer Description: Mercer, a place where extraordinary individuals can do their best work and lead their best lives! We believe in camaraderie and collaboration, no matter what your role, level, experience or background. Mercer is seeking candidates for the following position based in the New York(preferred) or Boston office: Compliance Specialist...

  • Compliance Specialist I

    7 days ago

    Boston, United States PSG Global Solutions Careers Full time

    Apply now and our proprietary system will quickly have you in front of a live recruiter. The Opportunity Description We're looking for a Compliance Specialist I , working in Pharmaceuticals and Medical Products industry in 500 Soldiers Field Road, Boston, Massachusetts, 02134, United States . Performs audits necessary to ensure the compliance of...

  • Retail Compliance Specialist

    2 days ago

    Boston, United States C3 Industries Full time

    JOB SUMMARY: The Retail Compliance Specialist is responsible for ensuring that assigned retail stores are operating in compliance with state and local ordinances, rules and regulations. JOB DUTIES: Core duties and responsibilities include the following. Other duties may be assigned. • Ensure retail stores and systems are in line with state and local...

  • Retail Compliance Specialist

    11 hours ago

    Boston, United States C3 Industries Full time

    JOB SUMMARY: The Retail Compliance Specialist is responsible for ensuring that assigned retail stores are operating in compliance with state and local ordinances, rules and regulations. JOB DUTIES: Core duties and responsibilities include the following. Other duties may be assigned. • Ensure retail stores and systems are in line with state and local...

  • Compliance Specialist I

    1 week ago

    Boston, United States PSG Global Solutions Careers Full time

    Apply now and our proprietary system will quickly have you in front of a live recruiter. The Opportunity Description We're looking for a Compliance Specialist I, working in Pharmaceuticals and Medical Products industry in 500 Soldiers Field Road, Boston, Massachusetts, 02134, United States. Performs audits necessary to ensure the compliance of...

  • Compliance Specialist I

    11 hours ago

    Boston, United States PSG Global Solutions Careers Full time

    Apply now and our proprietary system will quickly have you in front of a live recruiter. The Opportunity Description We're looking for a Compliance Specialist I, working in Pharmaceuticals and Medical Products industry in 500 Soldiers Field Road, Boston, Massachusetts, 02134, United States. Performs audits necessary to ensure the compliance of...

  • IACUC Regulatory Compliance Specialist

    1 month ago

    Boston, United States Massachusetts General Hospital Full time

    Job Description - IACUC Regulatory Compliance Specialist (3271795) IACUC Regulatory Compliance Specialist - ( 3271795 ) The IACUC Regulatory Compliance Specialist has the overall responsibility for ensuring regulatory compliance within the areas of the animal care and use program that fall under the responsibility of the IACUC office.Leads the...

  • IACUC Regulatory Compliance Specialist

    1 month ago

    Boston, United States Massachusetts General Hospital Full time

    Job Description - IACUC Regulatory Compliance Specialist (3271795) IACUC Regulatory Compliance Specialist - ( 3271795 ) The IACUC Regulatory Compliance Specialist has the overall responsibility for ensuring regulatory compliance within the areas of the animal care and use program that fall under the responsibility of the IACUC office.Leads the investigation,...

  • IT Compliance

    3 weeks ago

    Boston, United States Integrated Resources Full time

    The Specialist will develop, update, and maintain IT compliance documentation based on *** IT compliance standards. The individual will conduct regular reviews and assessments to coordinate *** System (Client) Enterprise Risk Management and Security Assurance for the *** (SAFR) reporting requirements. Responsibilities - Perform IT compliance, risk...

  • IACUC Regulatory Compliance Specialist

    3 hours ago

    Boston, United States Regulatory Affairs Professionals Society Full time

    The IACUC Regulatory Compliance Specialist has the overall responsibility for ensuring regulatory compliance within the areas of the animal care and use program that fall under the responsibility of the IACUC office.Leads the investigation, review and reporting of potential compliance concerns and adverse events.Manages the post-approval monitoring program...

  • SPECIALIST/SENIOR SPECIALIST, OCCUPATIONAL HEALTH

    1 month ago

    BOSTON, United States Boston University Full time

    We are currently seeking an experienced Environmental Health and Safety (EHS) Senior Specialist to join our dynamic team. The ideal candidate will be responsible for ensuring a safe and healthy work environment across BUs Medical Campus including Bo Specialist, Compliance, Research, Occupational, Health, Safety, Education