Software Guidance & Assistance, Inc., (SGA), is searching for a
Conflicts Compliance Officer for a
FULL TIME assignment with one of our premier
financial clients. This role will sit in their
Boston, MA office.
This is a direct-hire, full-time position --- client cannot sponsor now or in the future.
Cannot work with additional layers of employment.
A leading global investment firm is seeking a mid-level Compliance Officer or Attorney to join its Global Compliance team with a focus on the administration of the firm's compliance program designed to mitigate conflicts of interest. The successful candidate will support firm-wide compliance operations and initiatives by managing policies, processes, disclosure obligations, technology systems, and partnering with business leaders to identify and mitigate legal, regulatory, operational, and reputational risks arising from actual or potential conflicts of interest.
This role will be based in the firm's Boston office and will require extensive coordination with compliance team members in the New York and San Francisco offices, among others. The role will report to senior members of the Global Compliance team.
IDEAL EXPERIENCE
A successful candidate will typically have at least five years of experience in investment management compliance or legal practice. The candidate will have substantial understanding of and experience with the Investment Advisers Act of 1940 and its application to conflicts of interest in an investment management setting. Experience with private markets, credit investing strategies, and/or investment management practices in the insurance industry would be particularly ideal. The candidate will be a team player who is comfortable interacting with senior members of the Business, Legal, and Compliance teams to analyze potential conflicts of interest and be familiar with and ready to make contributions to policy and procedure drafting, regulatory change management, and testing and risk assessment.
RESPONSIBILITIES
- Providing real time advice to internal global businesses and investment professionals on actual or potential conflicts of interest arising from the firm's internal investment strategies, including the application of the firm's policy and best practice guidelines in consultation with their broader Compliance team.
- Regularly preparing memoranda concerning conflicts of interest and presenting such documentation to the firm's Global Conflicts Committee and other interested parties.
- Coordinating with outside counsel regarding conflicts of interest as required.
- Preparing and advising concerning regulatory disclosures relating to conflicts of interest.
- Supporting integration of new business strategies into the firm's existing Compliance, technology, and operational infrastructure.
- Ability to interact with various technology platforms as well as advise on potential enhancements to conflicts-related systems including automation efforts and incorporating AI
- Participating in regulatory / industry initiatives relating to new regulations and other issues relevant to the investment management business.
- Assisting in preparing responses to regulatory inquiries as necessary.
- Coordinating with colleagues in Legal/Compliance and other control groups on initiatives including surveillance, risks assessments, testing and audits.
- Maintenance of accurate records and details required to prepare management and other reporting.
- Preparing and delivering relevant trainings to business partners.
QUALIFICATIONS
- Undergraduate and law degrees with strong academic credentials and a minimum of 5 years of relevant work experience in a reputable national or international law firm, or equivalent investment management firm. Strong candidates who do not have a law degree will also be considered.
- Demonstrated experience in advising concerning conflicts of interests for a large investment management context.
- Subject matter expertise and/or substantial familiarity with the Investment Advisers Act of 1940.
- Ability to independently manage multiple projects in a collaborative manner with multiple stakeholders through to completion in a dynamic and changing environment.
- Accountable, with a strong sense of professionalism and integrity.
- Highly organized, efficient and able to work to tight deadlines in a high-pressure environment.
- A strong stakeholder-focused orientation with the drive and enthusiasm required to achieve results and assume stakeholder satisfaction.
- Proficiency in Microsoft Word, Excel, PowerPoint, and other data analytics tools.
- Self-starter with strong presentation, verbal and written communication skills.
- Excellent interpersonal skills and the ability to build strong professional relationships at all levels, with both internal and external parties.
- Maturity, presence, sound judgment, and ability to form and express opinions effectively to cross-divisional teams including senior management.
Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance.
SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at .
SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company to request an accommodation or assistance regarding our policy.
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