Overview
Compliance Manager, Finance & Banking Jobs in Boston, USA at BNG Consulting, Inc.
Our client, a leading investment management firm, is seeking an experienced Compliance Manager to oversee and enhance its regulatory compliance program. This individual will partner closely with Investment, Legal, Finance, and Operations teams to ensure compliance with applicable securities regulations while helping strengthen and scale the firm’s overall compliance framework. This is a highly visible role with significant cross-functional exposure and the opportunity to make a meaningful impact.
Responsibilities
- Lead and manage registered fund and investment adviser compliance programs.
- Perform compliance reviews of investment transactions and business activities.
- Prepare compliance reports and presentations for fund boards and senior leadership.
- Develop, implement, and enhance compliance policies, procedures, and monitoring programs.
- Partner with investment, legal, finance, and operations teams to provide practical compliance guidance.
- Coordinate regulatory examinations, internal testing, and third-party compliance oversight.
- Review marketing materials and investor communications for regulatory compliance.
- Support strategic initiatives to strengthen and improve the firm’s compliance program.
Qualifications
- 8+ years of compliance experience within asset management, investment advisory, financial services, or a related legal or regulatory environment.
- Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act, and other applicable securities regulations.
- Experience supporting registered funds is preferred.
- Ability to build strong relationships across business teams while providing practical, risk-based compliance guidance.
- Excellent communication, analytical, and organizational skills with experience presenting to senior leadership and boards.
- Self-motivated professional who thrives in a collaborative, fast-paced environment.
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Title: Compliance Manager, Finance & Banking
Company: BNG Consulting, Inc.
Location: Boston, USA
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