Chief Compliance Officer

4 days ago


Boston, Massachusetts, United States PeopleFluent Full time
Chief Compliance Officer

We are a growing Registered Investment Advisory firm located in downtown Boston. Our primary distribution channels are in the US broker-dealer and investment advisor marketplace. We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our business.

Key Responsibilities:

  • Develop a detailed understanding of firm's business to manage compliance and federal securities law and regulations for mutual funds, separately managed accounts, and variable insurance trusts.
  • Ensure advertising/marketing materials for products and their use by Sales & Marketing are compliant with applicable regulatory requirements
  • Onboarding new personnel with FINRA Registrations/Compliance Meetings/Training Materials/Code of Ethics/Compliance Manual
  • Lead person for audits, legal, and business partners for ongoing business changes, and regulatory expectations
  • Develop and implement effective surveillance oversight for sales, marketing, trading, products

Requirements:

  • Bachelor's Degree
  • Strong knowledge of legal requirements

What We Offer:

  • Company paid competitive benefits package, including health, dental, life insurance, disability insurance, and 401(k)
  • Mid-Senior level
  • Full-time


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