Job Description:

Our client, an independent investment firm, is currently seeking an Investment Management Compliance Officer to join the firm’s Legal and Compliance Department. The Compliance Officer will be primarily responsible for providing advice relating to client guidelines and Advisers Act-related topics, supplying strategic direction and leadership for the firm’s guideline monitoring function, 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
  • 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
  • Performing mutual fund compliance reviews and oversight
  • Conducting and documenting due diligence and ongoing oversight of service providers and sub-advisers
  • 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 this 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.
  • Strong knowledge of ERISA
  • 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
  • Able to multi-task, prioritize and perform well under pressure
  • 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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