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Regulatory Compliance Specialist

2 months ago

Boston, Massachusetts, United States Cardea Group Full time

Regulatory Compliance Specialist: Cardea Group is in search of a dedicated professional to enhance our compliance framework in a newly established role. This position will report directly to the Chief Compliance Officer, providing the successful candidate with the opportunity to collaborate closely with all team members and engage with various facets of our compliance initiatives.

Key Highlights:

  • A unique opportunity within a dynamic organization that prioritizes intellectual curiosity.
  • Work-life balance with standard hours from 8:30 AM to 5:30 PM.
  • Clear pathways for career advancement as outlined by the Chief Compliance Officer.
  • Direct exposure to senior management.

Core Responsibilities:

  • Oversee the monitoring and tracking of onboarding requirements.
  • Conduct audits of employee trading activities.
  • Assist in the preparation of regulatory submissions including ADV, PF, and 13F.
  • Evaluate marketing materials to ensure compliance standards are met.
  • Support cybersecurity efforts within the organization.
  • Manage special projects aimed at strengthening the compliance framework.
  • Maintain the Compliance Science system effectively.

Qualifications:

  • A bachelor's degree is mandatory.
  • Prior experience in regulatory compliance within a buyside environment is essential.
  • 2 to 4 years of relevant compliance experience.
  • Familiarity with Compliance Science is preferred.
  • Strong organizational skills with the ability to prioritize tasks, apply analytical thinking, produce precise work, and adhere to deadlines.