Investment Compliance Manager – Apply Now!
An internationally-recognized member of the investment advisory community seeks an Investment Compliance Manager. The Compliance Manager will take the lead in developing and enhancing SEC compliance programs, coordinating internal and external audits, and controlling reviews.
The Compliance Manager enjoys a significant amount of visibility within the organization. He or she will work with the Board of Directors and several investment committees and will serve as a point person for external bodies, including the SEC.
Major responsibilities include developing supervisory and compliance policies, procedures, and testing protocols; assessing a range of regulatory, compliance, and business risks; conducting annual reviews; and presenting the annual review report to the Board of Directors. The Investment Compliance Manager will also supervise SEC examination processes, prepare reports for quarterly board meetings, and design and implement quality assurance reviews and compliance training programs. Other responsibilities include surveying electronic communications, participating in or supporting regulatory filings, managing and developing regulatory relationships, staying abreast of changes in applicable securities laws, and helping to identify and implement various strategic initiatives.
Top candidates will have a broad background in formal compliance covering seven to ten years’ experience. Their experience will include work in a financial institution and in an investment advisory role and experience in the securities industry that encompasses knowledge of investment practices and accounting practices. They will possess analytical, computer, and organization skills, as well as superior written and oral communication skills honed through experience presenting to internal and external audiences. They will also know how to manage professional staff, draft compliance policies and procedures, and work with all levels of an organization.
This is a direct-hire position with a salary in the $99,000 – $130,000 range.
CIO/Corporate Knowledge Manager – Apply Now!
This CIO/Corporate Knowledge Manager position is with an industry leader with an entrepreneurial partnership. The CIO reports to a management committee and works within the highest levels of the organization.
Key duties of the CIO include high-level knowledge management planning and hands-on implementation and support. The CIO will advocate for knowledge management, provide direct support to practice and group management, review and summarize the process for stakeholders, and develop process maps for new and current knowledge management practices.
Goals include leveraging the organization’s knowledge assets to create a competitive advantage for supported users and practice areas, with an overall aim toward creating, capturing, and ensuring the reusability of the data.
Top candidates will have a BS/BA at a minimum, although an MS/MBA are desirable. The candidate’s field of study should include a blend of CIS/MIS/IT and business knowledge. Recent experience should include 10 to 15 years in information systems and data management, including 5 or more years as the senior subject matter expert and 5 recent years with a professional services organization. A strong knowledge of virtualization, data replication, VoIP, and experience with business community initiatives is key. Excellent oral and written communication skills are a must.
Candidates must have experience with project management, knowledge management business profess improvement, and information management. They should also have experience with strategy leadership, data capture, document imaging, and sharing programs. Experience in leadership with respect to Enterprise Knowledge Management is key.
Additional experience needed for the job includes experience with company and organizational knowledge assets management and working with problem management tools to measure model development. Sharing information via networking, blogging, and social media is desirable.
If you are looking for financial jobs in Boston, search our open jobs today!