V.P. Compliance Job in Boston, Massachusetts US

V.P. Compliance

Expanding Boston based mutual fund firm seeks senior level Compliance professional with JD

Responsibilities:

Responsible for the day to day review and production of the work and services provided by the Fund Regulatory Services Group.  The group provides SEC registration statement and corporate secretary services to mutual funds of all types, including open-end and closed-end funds, as well as ETFs.  In addition, the Regulatory Counsel will be responsible for the following:

·         Review and production of materials for client board meetings, including regular, special and organizational meetings

·         Review the work performed by paralegals and other professionals in the group

·         Management of corporate governance matters for Boston full service clients

·         Attend client board meetings and discuss compliance and other matters

·         Ability to advance client relationship issues within the organization

·         Draft client board memoranda for issues affecting client

·         Assist in client product development initiatives, including drafting of offering documents for new funds

·         Serve as resource internally for compliance and related SEC rules and developments

Qualifications and Experience:

·         Minimum of 5 years of experience as an attorney in any of the following organizations:

-Law firm (specializing in Mutual Fund, RIC)

-Mutual fund organization (adviser, distributor)

-Fund Administrator (custodian bank/ transfer agent/service provider)

·         Experience working with mutual fund boards, including attending board meetings and delivering presentations and covering matters for board consideration

·         Mutual fund regulatory and compliance (i.e., SEC filings, prospectus drafting and filing, preparing Board materials, attending Board meetings, portfolio compliance, etc.)

·         General corporate and securities law, such as establishing and maintaining companies (filings and board of directors work) and preparing documents and filings for private placements and public offerings

·         Mutual fund processing operations (i.e., transfer agency, fund accounting, custody)

·         Fund Accounting and Administration background

·         Regulatory exams/inspections: SEC, OCC, Fed, FDIC, etc.

·         Contracts: negotiation and administration

·         Bar Membership - Any Jurisdiction - required

 

Base Salary: $120-130K plus bonus

Please forward a word doc resume to: Jobs@CharlesRiverSearch.com

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