Radial

CRD Compliance Consultant

Radial • $110K — $130K *
Boston, MA 02115In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree in Business or a related field.
  • 5+ years of relevant compliance experience, specifically using the Charles River compliance system.
  • Strong knowledge of the Investment Advisers Act and compliance program requirements.
  • Familiarity with regulations such as Investment Company Act, Securities Act, Exchange Act, ERISA, FINRA, GIPS, CFTC/NFA, Dodd Frank, and Private Placement.

Responsibilities

  • Collaborate with the Compliance team to develop a new compliance process.
  • Review existing and new client mandates and investment guidelines.
  • Create coding for mandates and guidelines in the Charles River compliance system.
  • Input and code each requirement into the compliance system accurately.
  • Test the compliance coding to ensure functionality and accuracy.

Benefits

  • Opportunity to work on a vital compliance project with significant impact.
  • Engage with cross-functional teams, enhancing collaboration skills.
  • Access to ongoing professional development and training opportunities.
Full Job Description
Position Overview:
The Compliance Consultant will work with members of the Compliance team and other internal teams on a project to develop and implement a new pre-and post-trade compliance process. The role will review existing and new client mandates and investment guidelines, develop the appropriate coding to address each mandate and guidelines requirement, code each mandate and guideline requirement into the Charles River compliance system, and test the accuracy of the coding to ensure it is working as intended. We are looking for a candidate with 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.

Qualifications:
  • Bachelor's degree in Business or related and 5+ years of relevant compliance experience using the Charles River compliance system
  • Strong working knowledge of the Investment Advisers Act and the requirements of a Compliance and Risk program under 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

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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