Radial

Compliance Officer

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 related field, plus 8-10 years of compliance experience at a registered investment adviser.
  • FINRA licenses (Series 3, 7, 24) are a plus.
  • Proven experience coding portfolios into the Charles River compliance system for mandate compliance management.
  • In-depth knowledge of the Investment Advisers Act and compliance/risk program requirements.
  • Expertise in reviewing and approving marketing materials for compliance with regulatory standards.
  • Familiarity with regulatory filings in the U.S. and internationally, including SEC and NFA/CFTC submissions.
  • Strong attention to detail and ability to juggle multiple tasks under tight deadlines.

Responsibilities

  • Review and code client mandates into the Charles River compliance system.
  • Conduct daily portfolio reviews within the Charles River system for compliance oversight.
  • Support the compliance team with general compliance duties related to the firm's Compliance and Risk programs.
  • Review marketing and advertising materials for compliance with the Advisers Act.
  • Prepare and file necessary regulatory documents in the U.S. and internationally.
  • Undertake additional compliance tasks as assigned.

Benefits

  • Dynamic work environment at a rapidly growing firm.
  • Opportunity to be part of a global compliance team leading compliance initiatives.
  • Engagement in diverse compliance responsibilities offering professional growth.
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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