Job Of The Week: Compliance Manager At A Global Asset Management Firm

Special Counsel is conducting a time sensitive search for a Compliance Manager on behalf of its client, a global asset management firm with approximately $70 billion in assets under management. The successful candidate will partner with their Chief Compliance Officer and Chief Legal Officer to create and maintain a registered broker dealer entity within the firm. This is a unique opportunity to join a fast paced, team oriented firm in Boston, MA.

sc_logo_pur_rgbSpecial Counsel is conducting a time sensitive search for a Compliance Manager on behalf of its client, a global asset management firm with approximately $70 billion in assets under management.  The successful candidate will partner with their Chief Compliance Officer and Chief Legal Officer to create and maintain a registered broker dealer entity within the firm.  This is a unique opportunity to join a fast paced, team oriented firm in Boston, MA.

The primary focus of the role is to work with the firm’s investor relations and legal departments to develop monitoring and infrastructure programs to ensure that broker dealer rules are implemented and followed.  This includes, but is not limited to, review of marketing materials, Anti-Money Laundering requirements, and other compliance program elements.  This position will also supervise and manage compliance analysts in their day-to-day operations.

The ideal candidate will have a JD from a Top Law School, and they will have working knowledge of compliance functions and broker dealer rules.  At least five (5) years of prior hands-on compliance experience as an attorney, compliance officer in finance or accounting firm, or regulator in the securities industry is strongly preferred.  Familiarity with Investment Advisory laws and rules (40 Act), as well as other securities related laws and rules (33 and 34 Acts) is a plus.  Broker Dealer licenses (Series 7, 63 and 24) required or must be obtained.

The firm offers competitive compensation commensurate with experience as well as excellent benefits.  Relocation is available for the ideal candidate.

Please send résumés to boston@specialcounsel.com

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