Radial

Compliance Consultant CRD

Radial • $110K — $130K *
Boston, MA 02115In-Person
Finance & Insurance
8 - 10 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree in Business or a related field
  • 8-10 years of relevant compliance experience at a registered investment adviser
  • FINRA licenses such as Series 3, 7, and 24 are a plus
  • Extensive experience coding portfolios into the Charles River compliance system
  • Strong knowledge of the Investment Advisers Act and compliance programs
  • Experience in reviewing marketing and advertising materials for compliance
  • Familiarity with regulatory filings in the U.S. and abroad

Responsibilities

  • Review and code client mandates into Charles River compliance system
  • Conduct daily reviews of portfolios for compliance
  • Support compliance and risk programs through various general responsibilities
  • Review marketing materials for compliance with the Advisers Act
  • Prepare and file required regulatory documents internationally
  • Execute additional compliance tasks as directed

Benefits

  • Dynamic and supportive work environment
  • Growth opportunities within a rapidly expanding firm
  • Collaboration with a global compliance team
  • Potential for professional development and training
Full Job Description
Mid-sized global asset manager in Boston is looking for two compliance officers. Pre and Post experience preferred to work for this rapidly growing firm with a great environment to work in.

Position Overview:
The Compliance Officer will be a member of the global compliance team and will support the firm's Chief Compliance Officer in developing, implementing, testing and enforcing the firm's compliance program.
Responsibilities:
  • Review and coding of client mandates into the Charles River compliance system and the daily review of portfolios within the Charles River compliance system.
  • General compliance related responsibilities as a member of the compliance team in support of the firm's Compliance and Risk programs including the review of marketing and advertising materials in compliance with the Advisers Act and other relevant regulatory requirements, compliance specific client reporting, and Code of Ethics review and enforcement.
  • Preparation and filing of required regulatory filings both in the U.S. and abroad.
  • Other compliance related responsibilities as directed.
Qualifications:
  • Bachelor's degree in Business or related and 8-10 years of relevant compliance experience at a registered investment adviser
  • Series 3, 7, 24 and other FINRA licensing a plus.
  • Significant experience with coding portfolios into the Charles River compliance system and the use of such system to monitor mandate compliance on both a pre and post-trade basis
  • Strong working knowledge of the Investment Advisers Act and the requirements of a Compliance and Risk program under the Advisers Act
  • Experience with the review and approval of marketing and advertising materials, including website content, in compliance with the Advisers Act
  • A working knowledge of many of the following is highly desirable: Investment Company Act, Securities Act, Exchange Act, ERISA, FINRA, GIPS, CFTC/NFA, Dodd Frank swap requirements and Private Placement requirements
  • Experience preparing and making regulatory filings both in the U.S and abroad including with the SEC, NFA/CFTC and Canada.
  • Strong work ethic and attention to detail;Proven ability to handle simultaneous multiple tasks and meet competing deadlines with limited oversight and support
  • Team orientation and willingness to engage in tasks of all sizes; Great communication skills

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About Radial

Radial is a leading provider of e-commerce technology and operations solutions for retailers and brands. The company offers a range of services, including order management, payment processing, fraud detection, and customer care. Radial's solutions are designed to help retailers and brands improve their online shopping experiences, increase sales, and reduce costs. The company serves a wide range of industries, including fashion, beauty, electronics, and home goods. Radial is headquartered in King of Prussia, Pennsylvania, and has operations in the United States, Europe, and Asia.
Learn more about Radial
Size
7,000 employees
Industry
Business Services
Founded
1999
* Ladders Estimates

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