Compliance Officer – Boston – Hybrid

Posted 1 year ago

Compliance Officer – Boston – Hybrid

Salary 125-140k + Bonus

Our client, a growing growth equity firm, is hiring a Compliance Officer

Position Overview

The Compliance Officer will be involved in all aspects of compliance work – including training new hires, attending to regulatory filings, updating the firm’s compliance policies and procedures, conducting annual testing, reviewing marketing materials, reviewing political contributions and personal trading requests, and distributing and reviewing quarterly certifications. The Compliance Officer will work closely with the current legal and compliance team in Boston and London.


The Compliance Officer, will be responsible for achieving the following goals:

  • Assist with various aspects of the firm’s U.S. compliance program, including obligations arising in connection with the firm’s registration as an investment adviser with the SEC under Rules 204A-1 and 206(4)-7 of the Investment Advisers Act of 1940;
  • Assist with the firm’s compliance testing program, including risk identification, monitoring, testing, control enhancement development and implementation, and remediation, where necessary;
  • Assist with documentation of the firm’s compliance efforts and the manner in which the firm addresses specific compliance matters that may arise;
  • Partner closely with legal and investor relations groups to review external communications, including advertising materials, press releases and social media;
  • Assist with the firm’s anti-money laundering and anti-bribery programs and procedures;
  • Assist with government inquiries;
  • Review and negotiate non-disclosure agreements;
  • Assist with the development and oversight of the firm’s compliance program in foreign jurisdictions in which the firm has operations;
  • Be seen as a valued partner in ensuring the firm and its businesses are compliant in each applicable jurisdiction;
  • Promote best practices in the application of policies, procedures and other elements of governance impacting the organization; and
  • Review and enhance all procedures that involve the operational aspects of the firm.

Ideal Experience and Competencies

The successful candidate will have an exceptional track record and reputation. Given the significant responsibilities of this position, the top candidate will be a mature, experienced individual. In addition, the successful candidate should have:

  • A minimum of two years of experience in compliance matters, preferably in relation to registered investment adviser requirements of the SEC.
  • Bachelor’s degree required.
  • Although not required, experience in mergers & acquisitions, securities law matters, fund formation,
  • SEC examinations and/or investor relations is very helpful.
  • Demonstrated high energy and resiliency, and the ability to manage multiple priorities and make
  • ongoing decisions.
  • A flexible, creative approach to business, an understanding of risk assessment and the ability to modify her/his experience and knowledge base and adapt them to this unique organization.
  • A strong sense of urgency and commitment, as well as a strong business sense with a strategic, conceptual, and operational orientation.
  • The ability to work independently.
  • The ability to recognize the success of any regulated business is dependent upon its compliance with the various rules, regulations and laws that govern its industry.
  • Integrity and good judgment, with the ability to effectively deal with highly sensitive, confidential information.
  • A self-critical and disciplined approach.
  • Excellent written, verbal communication and organization skills, including sharing ideas and information across diverse audiences and identities to drive business.
  • Able to work well in a team-oriented environment and show an ability and willingness to multitask andbe “hands-on”.
  • Demonstrate the highest levels of ethics, values, and integrity.
  • Proven reputation as a collegial and team-oriented colleague.