SDL Search Partners

Compliance Manager

SDL Search Partners  •  Boston, MA (Hybrid)  •  5 months ago
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Job Description

A Top Asset Management firm is looking for a Compliance Manager as a new addition to the team. This is a great role for an individual with 5+ years of related experience looking for opportunity to take ownership of the Compliance function, within an established company that continues to grow organically.

Compensation & Benefits:

  • Strong base pay
  • Bonus
  • Profit Sharing
  • Opportunities for growth & professional development
  • Health / Dental / Vision / 401k
  • Fantastic company culture
  • Hybrid work model

Responsibilities:

  • Establish and maintain compliance rules in the core compliance engine
  • Maintain up to date understanding of new and proposed regulations to determine applicability to the firm based on a thorough understanding of the current business model
  • Preparation of monthly and quarterly reports
  • Support daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies
  • Reporting of beneficial ownership in an accurate and timely manner
  • Work with Compliance leadership to ensure relevant regulatory filings including form ADV
  • Review and updating compliance policies and procedures
  • Assisting with investment compliance
  • Review and approving of marketing materials
  • Identify and resolve potential material non-public information and information barrier matters
  • Provide management with information on current trends and issues recognized during assignments and recommend plans for improvement
  • Participate in and leading strategic initiatives within the team and in partnership with various business partners

Requirements:

  • 5-10 years of relevant experience
  • Bachelor's degree in Finance, Accounting, Economics, or related field preferred
  • Experience in the financial services industry, compliance and/or operations
  • Regulatory and policy experience a plus
  • Ability to business partner across departments & levels, as well as with the leadership team, and external parties
  • Interest in growth & promotion with the firm
SDL Search Partners

About SDL Search Partners

SDL Search Partners is a woman-owned search firm that puts values and relationship first. Our team has over 30 years of combined accounting & finance recruiting experience, a deep network, and a "quality-over-quantity" approach. At SDL, we are partners for the long-term, so what you can expect is a relationship that prioritizes transparency, integrity, and ultimately, finding you the right person to join your team or the right next step in your career.

Areas of focus:

• Accounting, Finance, Audit, Tax & Analytics

Examples of positions we support:

• Every position in the org chart from Staff Accountant / Senior Accountant up to Controller / CFO

• Financial Analyst, Finance Manager / FP&A Manager to VP of Finance

• Treasury, Internal Controls, Audit, Tax, M&A

• Public Accounting, Transaction Services, Advisory

• Technical Accounting, SEC Accounting, Financial Reporting

• Operational Accounting including Accounts Payable, Accounts Receivable, Payroll

• Sales Operations, Deal Desk, Pricing Manager, Data Analyst

• Investment Accounting, Fund Accounting, Operations Analyst, Client Service Specialist

A few of the industries we specialize in:

Technology, SaaS; Pharmaceuticals, Biotech, Life Sciences, Healthcare; Financial Services, Private Equity, Asset Management; Real Estate; Manufacturing; Energy, CleanTech; Higher Education, and more

If you are a company looking to hire, or a candidate looking to explore the job market, we are excited to partner with you.

Industry
HR & Recruiting
Company Size
1-10 employees
Headquarters
Boston, MA
Year Founded
Unknown
Website
sdlsearch.com
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