Compliance Manager at KBW Financial

On of our Top Asset Managers here in Boston has a need for a Compliance Manager, preferably with private fund advisor experience that will help support all aspects of the firms compliance program with a primary focus on the relationship management process. The role reports to the CCO and will assist with developing new policies, procedures and technical upgrades to meet all regulatory demands.

Responsibilities:

• Support all aspects of firms compliance program with a primary focus on the relationship management and business development process.
• This role reports directly to the CCO, but will also work with members of the Legal, Relationship Management, Finance, IT, and Investment teams, with clear visibility to senior management. 
• Work closely with the Relationship Management team to create, review, and approve marketing materials and investor communications for multiple product lines. 
• Assist with developing new policies, procedures, and technological upgrades to meet increasing regulatory demands and growth in the business 
• Ability to work independently and alongside a team is required, as well as a willingness to communicate actively to coordinate workload, priorities, initiatives, and regulatory interpretations 

Qualifications:

• Bachelor's degree 
• 3-5+ years of compliance experience within the finance space, preferably with private fund advisor o experience
• Professional maturity and ability 
• Knowledge and experience with compliance testing and marketing material review desired 
• Personable and able to work well with all levels of internal management and staff, 
• Strong written and verbal communication and interpersonal skills. 
• Must have high initiative and the ability to "roll up sleeves" to execute tasks 
• Strong problem-solving skills and analytical abilities 
• The successful addition to the team will assimilate new tasks quickly, looking to streamline or automate processes where possible, and help grow the position over time.