Boston Partners Global Investor, Inc. Boston , MA 02298
Posted 3 weeks ago
Position: Sr. Compliance Manager
Department: Compliance
Report to: Chief Compliance Officer
Company Summary:
Boston Partners is a global investment advisor with $103 billion in AUM and 175 employees. The firm was founded in 1995 and has its main office in Boston with other offices in New York, California, and London. Boston Partners is an indirect, wholly owned subsidiary of ORIX Corporation of Japan.
Boston Partners specializes in value equity investment strategies using fundamental research and a disciplined investment process investing in companies with attractive value characteristics and strong business fundamentals where there is a catalyst for positive change.
Boston Partners' management seeks to maintain a collegial environment emphasizing performance and cooperation with the goal for employees to spend the majority of their careers at Boston Partners.
Position Summary
The Senior Compliance Manager is an integral part of Boston Partners' 8 person compliance department. The Senior Compliance Manager will be expected to exercise leadership responsibilities as well as specific areas of responsibility including developing, compliance policies and procedures and performing compliance auditing of key processes. The Senior Compliance Manager will interact with other Boston Partners' employees, including senior management, portfolio managers and analysts, and present to clients and prospects. The Senior Compliance Manager will work cooperatively with other department personnel and will be responsible for managing special projects as assigned.
Major Responsibilities
Compliance generalist able to address all areas of compliance
Review regulatory changes and prepare policies to implement those changes
Oversee Code of Ethics inclusive of personal trading review, gifts and entertainment monitoring, and political contributions
Develop and deliver compliance training programs for employees
Review marketing materials and other communications for compliance with regulatory requirements.
Prepare various regulatory filings, including but not limited to Section 13 filings and net short position reporting
Assist with regulatory requests and examinations
Assist with firm's registrations and renewals
Futures & commodities compliance
Ad-hoc projects as needed
Requirements
Excellent oral and written communication and interpersonal skills
Ability to interact with various levels of management
A desire to be an innovative problem solver who enjoys crafting solutions
Strong analytical skills
Detail oriented and well organized
Ability to multi-task in a fast paced environment
Self-motivated and able to work independently
Qualifications
5 - 10 years of relevant experience in investment advisory compliance, preferably in an asset management firm
Strong understanding of securities regulations, including the Investment Advisers Act of 1940 and the Securities and Exchange Act of 1934
Extensive computer experience, including proficiency in Microsoft Word and Excel
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