Chief Compliance Officer, Regulatory Expert
2 days ago
We are a Registered Investment Advisory firm seeking a Chief Compliance Officer to provide advisory oversight in all facets of our business.
The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and detailed experience with 1940 Act (Mutual Funds).
Key Responsibilities:
- Develop a detailed understanding of our 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
- Onboard 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
We offer a competitive salary range of $120,000 - $180,000 per year, company-paid benefits package including health, dental, life insurance, disability insurance, and 401(k), and a mid-senior level position.
-
Regulatory Compliance Director
6 days ago
Boston, Massachusetts, United States Fidelity Investments Full timeSecure the Future of Digital AssetsWe are seeking a highly skilled Regulatory Compliance Director to join our team at Fidelity Investments. In this role, you will serve as a trusted advisor and business partner, promoting a culture of compliance and integrity.The ideal candidate will have 10+ years of experience in regulatory compliance, with a strong...
-
Chief Regulatory Strategy Advisor
4 days ago
Boston, Massachusetts, United States Takeda Pharmaceutical Full timeAbout the RoleAt Takeda Pharmaceutical, we are seeking a skilled Chief Regulatory Strategy Advisor to lead our regulatory affairs efforts in the pharmaceuticals sector. This is an exciting opportunity for a seasoned professional to join our team and contribute to shaping the company's regulatory strategy.Key Responsibilities:Develop and implement global...
-
Boston, Massachusetts, United States Best Buy Health Full timeAbout the RoleWe are seeking an experienced Global Medical Devices Regulatory Compliance Expert to join our team at Best Buy Health. In this role, you will be responsible for ensuring the global regulatory compliance of medical devices throughout their lifecycle, from development to post-market surveillance.Key Responsibilities:Develop and implement...
-
Digital Compliance Specialist
2 days ago
Boston, Massachusetts, United States Fidelity Investments Full timeJob OverviewWe are seeking a highly skilled Digital Compliance Specialist to join our team in this critical role, overseeing regulatory oversight and management for Fidelity Digital Asset Services.About the RoleThis position involves working closely with decentralized teams and collaborating with various stakeholders across Fidelity to promote a culture of...
-
Global Regulatory Compliance Expert
1 week ago
Boston, Massachusetts, United States Best Buy Health Full timeAt Best Buy Health, we're committed to enriching and saving lives through technology and meaningful connections.We're seeking a seasoned Regulatory Affairs Manager to join our team in Boston, MA. This is a full-time position that offers a competitive salary of $120,000 per year.Job Description:Develop and implement comprehensive global regulatory strategies...
-
Chief Technology Officer
6 days ago
Boston, Massachusetts, United States PepGen Full timeAbout the Role PepGen, a clinical-stage biotechnology company, is seeking an experienced Chief Technology Officer to lead its Information Technology organization through a critical growth phase. The ideal candidate will have a strong background in IT leadership and experience guiding companies through transitions from R&D to commercial operations.As the...
-
Boston, Massachusetts, United States Fidelity TalentSource LLC Full timeJob Summary:Fidelity Digital Asset Services, LLC ('FDAS') seeks a seasoned compliance professional to serve as an informed business partner, promoting a culture of ethical conduct and commitment to regulatory obligations.The Role:This Compliance Director will be responsible for overseeing regulator relationships, managing regulatory examinations, identifying...
-
Compliance Risk Management Expert
5 days ago
Boston, Massachusetts, United States destinationone Consulting Full timeJob OverviewAt destinationone Consulting, we specialize in recruitment across diverse sectors. Our commitment to Integrity, Transparency, and Innovation ensures a professional experience for all candidates.Location: Various locations across MassachusettsWe are seeking a Compliance Risk Management Expert to ensure our clients adhere to laws, regulations, and...
-
Director of Regulatory Compliance
6 days ago
Boston, Massachusetts, United States Takeda Pharmaceutical Full timeWelcome to Takeda Pharmaceutical, where we are committed to creating a diverse and inclusive workplace culture that fosters innovation and growth.As a Director of Regulatory Compliance, you will be responsible for developing and implementing regulatory strategies to ensure compliance with global regulations and guidelines. Your expertise in CMC regulations...
-
Chief Legal Officer Lead
2 days ago
Boston, Massachusetts, United States Senne Full timeAbout SenneWe're seeking an experienced Chief Legal Officer to lead our legal team and drive business growth.Job DescriptionThe CLO provides comprehensive execution of the legal and risk management strategy for Senne.The successful candidate will be responsible for managing legal matters, minimizing risk, and administering systems and relationships necessary...
-
Compliance Expert Leader
7 days ago
Boston, Massachusetts, United States Fidelity Investments Full timeFidelity Investments is a leading financial services company seeking an experienced Compliance Expert Leader to join our team. This role will play a critical part in ensuring the company's digital assets are compliant with regulatory requirements.Job SummaryWe are looking for a highly skilled and motivated individual to lead our compliance efforts related to...
-
Boston, Massachusetts, United States State Street Corporation Full timeCompany OverviewState Street Corporation is a leading financial institution that requires a highly skilled individual to oversee its global compliance program. As the Chief Compliance Officer, you will play a critical role in ensuring the company's adherence to regulatory requirements and maintaining a strong reputation in the industry.
-
Boston, Massachusetts, United States City of Boston Credit Union Full timeUnlock a Challenging Career in BSA ComplianceWe are seeking an experienced BSA Compliance Officer to join our team at the City of Boston Credit Union. This is an exciting opportunity to work in a dynamic environment, ensuring compliance with regulatory requirements and maintaining a strong reputation for our organization.About the Role:As a key member of our...
-
Boston, Massachusetts, United States Savant Power Full timeSenior Regulatory Safety and Compliance Engineer RoleWe are seeking an experienced Senior Regulatory Safety and Compliance Engineer to join our team at Savant Power. This is a challenging role that involves working closely with cross-functional teams to ensure the compliance of our power systems with industry standards and regulations.The ideal candidate...
-
Global Regulatory Affairs Compliance Lead
3 days ago
Boston, Massachusetts, United States Takeda Pharmaceutical Full timeJob OverviewTakeda Pharmaceutical is seeking a skilled Global Regulatory Affairs Compliance Lead to join our team in Zurich, Switzerland or Massachusetts. This is a full-time opportunity.About the RoleWe are looking for a highly motivated and experienced professional to lead our global regulatory affairs compliance efforts. The successful candidate will be...
-
Global Regulatory Affairs Expert
2 days ago
Boston, Massachusetts, United States Takeda Pharmaceutical Full timeAbout the RoleAt Takeda Pharmaceutical, we are a forward-looking, world-class R&D organization that unlocks innovation and delivers transformative therapies to patients. Our focus on four therapeutic areas and targeted investments enables us to push the boundaries of what is possible in order to bring life-changing therapies to patients worldwide.We are...
-
Boston, Massachusetts, United States Takeda Pharmaceutical Full timeAbout the OpportunityWe are seeking a seasoned Regulatory Affairs Professional to join our Global Regulatory Affairs CMC team as a Director, GRA CMC Small Molecules. This role offers an exceptional opportunity to contribute to the development and execution of regulatory strategies for our small molecule products.Job Summary:Oversee the development and...
-
Regulatory Technical Expert
2 days ago
Boston, Massachusetts, United States Takeda Pharmaceutical Full timeAbout the RoleWe are seeking a highly experienced Regulatory Technical Expert to join our team at Takeda Pharmaceutical. In this role, you will be responsible for defining and implementing an external engagement strategy, governance, and associated capabilities in line with patient-centric values.Key Responsibilities:Engage with Subject Matter Experts across...
-
Boston, Massachusetts, United States Takeda Pharmaceutical Full timeAbout the RoleTakeda Pharmaceutical is seeking an exceptional Regulatory Expert to join our team in a leadership capacity. In this role, you will define and implement external engagement strategies, governance, and associated capabilities to establish Takeda as a thought leader in regulatory sciences.As a key member of our Global R&D team, you will engage...
-
Regulatory Compliance Leader
1 week ago
Boston, Massachusetts, United States Fidelity Investments Full timeJob SummaryWe are seeking a highly skilled Regulatory Compliance Leader to oversee the digital asset operations at Fidelity Investments. This role will be responsible for managing regulatory relationships, leading decentralized teams, and ensuring compliance with evolving regulations.About the RoleThis position requires a strong background in regulatory...