Compliance Manager
SDL Search PartnersBoston, Massachusetts
Automate your job search with Sonara.
Submit 10x as many applications with less effort than one manual application.1
Reclaim your time by letting our AI handle the grunt work of job searching.
We continuously scan millions of openings to find your top matches.
Overview
Schedule
Full-time
Career level
Director
Remote
Hybrid remote
Benefits
Health Insurance
Dental Insurance
Vision Insurance
Job Description
A Top Asset Management firm is looking for a Compliance Manager as a new addition to the team. This is a great role for an individual with 5+ years of related experience looking for opportunity to take ownership of the Compliance function, within an established company that continues to grow organically.
Compensation & Benefits:
- Strong base pay
- Bonus
- Profit Sharing
- Opportunities for growth & professional development
- Health / Dental / Vision / 401k
- Fantastic company culture
- Hybrid work model
Responsibilities:
- Establish and maintain compliance rules in the core compliance engine
- Maintain up to date understanding of new and proposed regulations to determine applicability to the firm based on a thorough understanding of the current business model
- Preparation of monthly and quarterly reports
- Support daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies
- Reporting of beneficial ownership in an accurate and timely manner
- Work with Compliance leadership to ensure relevant regulatory filings including form ADV
- Review and updating compliance policies and procedures
- Assisting with investment compliance
- Review and approving of marketing materials
- Identify and resolve potential material non-public information and information barrier matters
- Provide management with information on current trends and issues recognized during assignments and recommend plans for improvement
- Participate in and leading strategic initiatives within the team and in partnership with various business partners
Requirements:
- 5-10 years of relevant experience
- Bachelor's degree in Finance, Accounting, Economics, or related field preferred
- Experience in the financial services industry, compliance and/or operations
- Regulatory and policy experience a plus
- Ability to business partner across departments & levels, as well as with the leadership team, and external parties
- Interest in growth & promotion with the firm
Automate your job search with Sonara.
Submit 10x as many applications with less effort than one manual application.
FAQs About Compliance Manager Jobs at SDL Search Partners
What is the work location for this position at SDL Search Partners?
This job at SDL Search Partners is located in Boston, Massachusetts, according to the details provided by the employer. Some roles may also include multiple work locations depending on the requirement.
What pay range can candidates expect for this role at SDL Search Partners?
Employer has not shared pay details for this role.
What employment applies to this position at SDL Search Partners?
SDL Search Partners lists this role as a Full-time position.
What experience level is required for this role at SDL Search Partners?
SDL Search Partners is looking for a candidate with "Director" experience level.
What benefits are offered by SDL Search Partners for this role?
SDL Search Partners offers following benefits: Health Insurance, Dental Insurance, Vision Insurance, Career Development, 401k Matching/Retirement Savings, and Health & Wellness Programs for this position. Actual benefits may vary depending on the employer's policies and employment terms.
What is the process to apply for this position at SDL Search Partners?
You can apply for this role at SDL Search Partners either through Sonara's automated application system, which helps you submit applications 10X faster with minimal effort, or by applying manually using the direct link on the job page.