| Title: Compliance Manager
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| Location: Boston, MA
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| Job Type: Direct Hire
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| Compensation: per Year
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| Reference Code: 950253-EQG
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| Description: This person will perform all activities related to registering firm as an Investment Advisor. This person will initiate, develop, maintain, and revise policies and procedures for the operation of the Company's compliance program. This person will monitor the performance of the compliance program and related activities on a continuing basis and with periodic audits, taking appropriate steps to improve effectiveness of the program; identify and interpret regulations and self-regulatory organization rules to ensure the Company's policies and procedures comply with applicable laws, regulations, industry guidance, and best practices; and identify potential areas of compliance vulnerability and risk, develop corrective action plans for the resolution or mitigation of problematic issues, and provide guidance on risk-avoidance and precaution. This person will review client communications, marketing, advertising, and other correspondence for compliance with applicable requirements; act as an independent review and evaluation body to ensure that compliance issues/concerns are being appropriately evaluated, investigated, and resolved; and provide leadership, guidance, and support to all levels of the Company on complex ethics and compliance issues, including policy interpretation and requirements, compliance risk assessment, trend analysis, and best practices recommendations. This person will act as a liaison with legal and regulatory bodies on compliance-related issues.
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| Requirements: The job requires a minimum of 6 years of working compliance experience and the ability to take on senior level responsibilities at the Company.
All candidates applying must have a hands-on approach to running a compliance program with an extensive and broad background in, and expert knowledge of Investment Advisor rules and regulations and initial registration. Work experience at a regulatory agency or self-regulatory organization is a plus. Qualified candidates must have at least a Bachelor degree with outstanding academic credentials - preferably in business, finance, accounting, or other related field - and meaningful accounting and/or finance work experience.
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