Compliance Consultant CRD

Series 3 7 24 and other FINRA licensing a plus
Contract Independent, Contract W2
Depends on Experience
Work from home not available Travel not required

Job Description

Mid-sized global asset manager in Boston is looking for two compliance officers.  Pre and Post experience preferred to work for this rapidly growing firm with a great environment to work in.
Position Overview:
The Compliance Officer will be a member of the global compliance team and will support the firm’s Chief Compliance Officer in developing, implementing, testing and enforcing the firm’s compliance program.


  • Review and coding of client mandates into the Charles River compliance system and the daily review of portfolios within the Charles River compliance system.
  • General compliance related responsibilities as a member of the compliance team in support of the firm’s Compliance and Risk programs including the review of marketing and advertising materials in compliance with the Advisers Act and other relevant regulatory requirements, compliance specific client reporting, and Code of Ethics review and enforcement.
  • Preparation and filing of required regulatory filings both in the U.S. and abroad.
  • Other compliance related responsibilities as directed.


  • Bachelor’s degree in Business or related and 8-10 years of relevant compliance experience at a registered investment adviser
  • Series 3, 7, 24 and other FINRA licensing a plus.
  • Significant experience with coding portfolios into the Charles River compliance system and the use of such system to monitor mandate compliance on both a pre and post-trade basis
  • Strong working knowledge of the Investment Advisers Act and the requirements of a Compliance and Risk program under the Advisers Act
  • Experience with the review and approval of marketing and advertising materials, including website content, in compliance with the Advisers Act
  • A working knowledge of many of the following is highly desirable: Investment Company Act, Securities Act, Exchange Act, ERISA, FINRA, GIPS, CFTC/NFA, Dodd Frank swap requirements and Private Placement requirements
  • Experience preparing and making regulatory filings both in the U.S and abroad including with the SEC, NFA/CFTC and Canada.
  • Strong work ethic and attention to detail;Proven ability to handle simultaneous multiple tasks and meet competing deadlines with limited oversight and support
  • Team orientation and willingness to engage in tasks of all sizes; Great communication skills

Posted By

Joseph Ward

50 Federal Street Boston, MA, 02110

Dice Id : 10514640
Position Id : 1812-1152
Originally Posted : 10 months ago
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