Senior Compliance Associate

3 days ago

Boston, United States Westfield Capital Management Full time

Senior 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 the firm (C-Suite and below) and with all departments (Investments, Trading, Marketing, Operations). At Westfield, we value collaboration and encourage team members to be active participants and take on new responsibilities when ready.

Hours

Westfield Capitals office hours are 8:30 a.m. to 5:00 p.m.; however extra hours are required during quarter end and reporting periods. Will be required to stay until the Trading desk has completed end of day each night which on occasion will be after 5:00 p.m.

Reporting to

Deputy Chief Compliance Officer

Compensation

Westfield offers a competitive base salary and participation in the Westfield Capital staff bonus pool and the Westfield 401k Plan with employer matching. Westfield Capital also provides comprehensive health, vision and dental coverage and assistance with tuition for business related education.

Requirements

Candidates must have strong organizational and time management skills, with the ability to prioritize in a fast-paced and constantly changing environment. Exceptional attention to detail, strong communication and interpersonal skills, and the ability to work independently and as part of a team are essential. Knowledge of regulatory requirements and compliance best practices is required. Candidates should have four to six years of compliance experience, with experience in the mutual fund industry being essential. Strong analytical thinking and problem-solving skills, as well as proficiency in compliance software and Microsoft Office, are also necessary.

Responsibilities

The position will encompass the following responsibilities:

  • Respond to client reporting requests. Working with the Marketing, Operations, and Trading teams, the Senior Associate will be responsible for coordinating and fulfilling client requests and client reports
  • Implement and monitor pre- and post-trade portfolio investment guideline compliance and reporting. In addition will be responsible for reviewing, maintaining, and updating client restrictions within Westfields portfolio compliance system
  • The Senior Associate will assist with client meeting prep and will participate in client meetings as needed
  • Regulatory Filings: Ensure required regulatory filings are made in a timely manner by preparing and submitting them to the appropriate regulatory entity.
  • Maintain the personal trading system on a daily basis including maintaining and manage restricted and watch lists
  • Review personal trading and gift and entertainment requests
  • Policies/Procedures: The Senior Associate will assist with the review and testing of the Firms policies and procedures
  • Keeping abreast of regulatory developments which may impact the Firm and our clients
  • Maintain compliance calendar and address current regulatory changes as applicable
  • Other Projects/Assignments: The Associate will be responsible for completing any other projects as assigned
  • Professional Development: Attend industry conferences or webinars on regulatory compliance matters, with opportunities for further certifications and growth within the company

QUALIFICATIONS

  • Bachelors Degree from four-year college or university
  • Experience in the mutual fund industry is preferred
  • Interest in legal and/or compliance matters affecting investment advisers
  • Previous compliance and/or audit experience

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