Job Description:

Our client, an independent investment firm, is currently seeking to hire an engaged, professional, detail oriented and self-motivated Compliance Officer to join the firm’s Legal and Compliance Department.  The Compliance Officer will primarily be responsible for providing advice relating to client guidelines and Adviser Act-related topics, supplying strategic direction and leadership for the firm’s guideline monitoring function, performing third party vendor and client diligence procedures, assisting with compliance program testing and serving as a source of general compliance advice.


  • Managing the firm’s investment compliance program, including on-boarding of new mandates, assessing and resolving issues, and overseeing guideline monitoring
  • Reviewing and interpreting client investment policy statements
  • Documenting manual guidelines and working cooperatively with investment teams to ensure appropriate oversight and monitoring
  • Assisting with the implementation of guideline management control system enhancements and the integration of new systems
  • Partnering with Operations, Systems Administration, IT, the investment teams and other constituents to ensure constant improvement of compliance monitoring systems, processes and oversight
  • Performing mutual fund compliance reviews and oversight
  • Completing monthly, quarterly and annual compliance reporting requirements for existing clients as well as due diligence requests for prospective clients
  • Participating in client/prospective client compliance onsite due-diligence visits
  • Conducting and documenting due diligence and ongoing oversight of service providers and sub-advisers
  • Assisting with Anti-Money Laundering and Know Your Customer diligence procedures
  • Preparing board materials, MIS and ad hoc requests
  • Drafting and amending policies and procedures
  • Reviewing IPO allocations
  • Facilitating SRI screening and providing advice to support the firm’s sustainability efforts
  • Coordinating restricted lists with the trading desk
  • Other general compliance roles and responsibilities


The Compliance Officer must possess exceptional organizational skills, attention to detail, a dedication to excellent service and a commitment to working with colleagues to effect risk reduction and continuous improvement in the firm’s control environment.  Specific qualifications for the position include:

  • Three (3) to five (5) years of relevant experience at a registered investment adviser
  • Proficiency in the requirements of Investment Advisers Act of 1940 and the Investment Company Act of 1940 is required.
  • Expert knowledge of the investment management industry, including institutional asset management, private client, alternative investments, and related operations and support functions
  • Strong understanding of and experience with the guideline monitoring function within an investment management organization
  • Experience with Anti-Money Laundering and Know Your Customer programs and procedures
  • Experience with reviewing advertising and marketing materials for compliance with regulatory requirements
  • Strong knowledge of ERISA
  • Able to multi-task, prioritize and perform well under pressure
  • Works with minimal supervision to accomplish objectives and priorities
  • A track record of providing well-reasoned, balanced compliance advice
  • College degree required
  • Proficiency in Microsoft Office Suite
  • Experience with Advent’s suite of software (APX, Rules Manager, Moxy) a plus
  • Experience with Charles River a plus
  • Highly organized and detail oriented
  • Superior communication skills (verbal and written)

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com


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