Senior Compliance Officer / Associate Counsel
Senior Compliance Officer / Associate Counsel
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Our client, a Boston based investment management firm, is looking to hire a Senior Compliance Officer / Associate Counsel to lead their compliance program. This role will have generalist compliance responsibilities in addition to legal transactional and contract work.
Responsibilities:
* Oversight of the compliance program across all entities of the organization
* Code of ethics, compliance manual, custody audit & client onboarding
* Lead the firm through SEC examinations
* Provide risk assessments and regulatory audits
* Draft, review and negotiate agreements and contracts
Requirements
* Juris Doctor
* 8+ years of RIA compliance experience
Seniority level
* Seniority level
Mid-Senior level
Employment type
* Employment type
Full-time
Job function
* Job function
Finance and Legal
* Industries
Financial Services and Law Practice
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Inferred from the description for this job
Medical insurance
Vision insurance
401(k)
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