Contract Senior Compliance Specialist


Boston, MA

Contract senior compliance role with outstanding investment firm in Boston!! This role could be 6 months or longer!!

Responsibilities:

  • Review incoming emails to determine if any regulatory or compliance issues are present
  • Provides guidance to compliance team members regarding issue resolution and involvement of various internal business units
  • Support manager of Investment Compliance with institutional Client reporting.
  • Go through existing emails review for compliance issues
  • Identify any and all issues, log and escalate to appropriate team
  • Manage and update compliance records and files.

Requirements:

  • BA Degree
  • 3-5 years of investment compliance experience with pre and post trade compliance monitoring
  • Strong knowledge of regulatory rules and investment company act of 1940
  • In depth knowledge of compliance systems
  • Experience with Aladdin, Bloomberg, Excel, Access, Word and other database skills

Interested in this job?

Contact us below to learn more.