Compliance Specialist Job in Boston 02110, Massachusetts US
Our client is recruiting for a compliance specialist who will serve as an integral part of the legal and compliance department. The compliance specialist in this role must be very familiar with equity and fixed income products.
The main responsibilities include but are not limited to:
- Daily monitoring of compliance alerts and analysis of client investment guidelines to determine if a guideline breach has occurred
- Work with investment professionals (portfolio managers, portfolio specialists and/or client portfolio managers) to resolve guideline issues
- Assist the manager in reviewing, analyzing and interpreting restrictions found in client contracts, guidelines, amendments and other correspondence
- Assist the manager in testing client restrictions as they are input into CRD, providing feedback and solutions for issues that arise
- Prioritize work in order to efficiently meet all deadlines
- Promote teamwork and work effectively with other members of the legal and compliance department and other departments/offices
Who we're looking for
The Compliance Specialist must have:
- Bachelor's degree in business, finance, accounting or management
- At least 3 years of investment adviser guideline compliance experience
- Exposure to both equity products and fixed income products
- Charles River Compliance System experience is strongly preferred
- Charles River Compliance rule coding experience is preferred
- Strong relationship building and relationship management skills
- Detail oriented with strong organizational skills
- Strong written and oral communication skills
About our client
Our client is a Boston based boutique asset manager who is experiencing tremendous growth.
What's on the offer
Our client is offering base plus bonus
For further information please forward a detailed resume along with current salary,
in strict confidence by applying on Page Personnel website