Compliance Analyst

Job Description

Compliance Analyst

A well-established, privately held Boston-based investment management firm is seeking a highly skilled and experienced Compliance Analyst to join its team. Reporting directly to the Chief Compliance Officer, this pivotal role will be instrumental in supporting and enhancing the firm’s robust compliance program across a diverse range of investment strategies, including equity, fixed income, balanced, and private equity.

This is a hands-on opportunity for a proactive professional to oversee daily compliance activities, diligently monitor evolving regulatory landscapes, and drive continuous process improvements to fortify the firm’s overall compliance framework.

Key Responsibilities:

• Support the ongoing administration and operational aspects of the firm’s comprehensive compliance program.
• Actively monitor, interpret, and analyze new and evolving regulatory developments impacting SEC-registered investment advisers and registered investment companies.
• Evaluate the impact of significant regulatory and business changes on the firm’s operations and implement necessary program enhancements to ensure ongoing compliance.
• Proactively identify potential gaps or weaknesses in existing monitoring processes and recommend practical, effective improvements to strengthen controls.
• Assist in the strategic design and meticulous execution of compliance testing initiatives to assess adherence to policies and regulations.
• Maintain, update, and improve compliance policies, procedures, templates, and essential tools to ensure accuracy and relevance.
• Communicate complex compliance requirements and intricate regulatory matters clearly, concisely, and effectively, both in written documentation and verbal interactions.
• Exercise sound judgment and provide credible challenge when escalating and communicating identified deficiencies or non-compliance issues to relevant key stakeholders.

Qualifications:

• 8+ years of dedicated compliance experience within an investment adviser, asset management firm, or similar financial services institution is required.
• Bachelor’s degree is required; advanced credentials such as a JD, MBA, or similar are strongly preferred and highly valued.
• Possess a strong working knowledge and understanding of federal securities laws, rules, and regulations specifically governing SEC-registered investment advisers (e.g., Investment Advisers Act of 1940) and registered investment companies (e.g., Investment Company Act of 1940).
• Highly organized with exceptional ability to manage multiple priorities simultaneously and consistently meet tight deadlines.
• A self-directed, proactive individual who demonstrates strong initiative and is capable of working effectively and independently.

Compensation:

The compensation for this role is in the competitive range of $95,000 – $105,000 annually.

Equal Opportunity Employer:

We are an Equal Opportunity Employer and consider qualified applicants for employment regardless of race, gender, gender identity, gender expression, age, color, religion, disability, veteran status, sexual orientation, or any other protected factor.