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