Overview
Senior Compliance Associate – Investment Management – 26765 Jobs in Boston, MA at Daley And Associates, LLC
Title: Senior Compliance Associate – Investment Management – 26765
Company: Daley And Associates, LLC
Location: Boston, MA
Senior Compliance Associate
We are currently seeking candidates for a Senior Compliance Associate to join a highly successful Investment Management firm located in Boston, MA. The Senior Compliance Associate will be involved with enhancing the Firm’s compliance efforts, including evaluating controls, preparing annual compliance reports (206(4)-7, 38a-1), and managing the global training program. The ideal candidate will have 5+ years of related compliance experience in investment management or financial services. Candidates MUST have a strong understanding of laws, rules, and regulations related to registered investment advisers, private funds, and registered investment companies.
Compensation: $100,000-$115,000 base + bonus + benefits.
Office Location: Boston, MA
Work-Model: Hybrid – 3 days onsite and 2 days remote/week.
Additional Information: This opportunity provides great work-life balance, tremendous room for growth, excellent company culture, fantastic benefits, and much more.
Responsibilities:
Conduct in-depth evaluations of the Firm’s control framework, maintaining clear documentation and recommending improvements to strengthen overall effectiveness.
Contribute to the Compliance Testing Program by developing risk-based objectives, defining review scope, and designing testing strategies to evaluate the adequacy and effectiveness of compliance policies and controls.
Spearhead the preparation of annual compliance reporting, including drafting compliance 206(4)-7 and 38a-1 reviews.
Compile and deliver quarterly and annual Compliance metrics.
Conduct compliance surveillance activities and coordinate with external service providers to support regulatory oversight.
Create, implement, and monitor compliance policies and procedures.
Lead the global Compliance training program, overseeing the development of tailored training content, managing the training calendar, and ensuring effective delivery to employees through both live sessions and automated tools.
Monitor and ensure compliance with Fund and SMA (Separately Managed Account) obligations, reviewing processes and identifying potential risks or areas for improvement.
Support the preparation and review of Compliance responses for due diligence inquiries, RFPs, and client service requests.
Assist in the creation and execution of the regulatory exam readiness program, ensuring preparedness for regulatory inspections and assessments.
Provide additional support as needed.
Qualifications:
Bachelor’s degree in Finance, Business, Economics, Accounting, or related field (Required).
5+ years of experience in compliance, legal, or audit roles within financial services. Must include strong experience working with securities laws, rules, and regulations relevant to registered investment advisers, private funds, and registered investment companies.
Strong understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Regulation D, the SEC Marketing Rule, and FINRA Communication Rules.
Excellent communication (written and verbal), interpersonal, and presentation skills.
Ability to work collaboratively and independently.
Self-motivated with strong organizational, time management, and analytical skills.
Ability to utilize creative and analytical thinking to approach decision-making and problem-solving.
Detail-oriented with a strong commitment to ensuring accuracy and compliance.
For immediate consideration, interested and qualified candidates should send their resume to Jenny at [email protected].
