Design, scope, and execute risk‑based compliance reviews aligned with the annual test plan, identifying relevant regulations, key risks, and controls
Develop and perform detailed testing to assess control design and operating effectiveness and evaluate compliance with policies and regulatory requirements
Engage with business and support teams through interviews, walkthroughs, and process reviews to understand activities, risks, and controls
Document all testing procedures, evidence, and conclusions clearly and comprehensively
Identify and articulate findings—including control gaps, deficiencies, and risk exposures—and prepare clear reports for stakeholders and management
Collaborate with business partners to draft remediation plans, support timely corrective actions, and track closure of issues
Conduct market abuse surveillance, reviewing alerts related to insider trading, window dressing, portfolio pumping, and other misconduct indicators
Partner with data analytics teams to leverage automation and analytical tools to enhance testing coverage and insights, while monitoring regulatory developments and emerging risks

Bachelor's degree in accounting, finance or related business fields
6-8+ years of experience in Financial Services Industry, in an Investment Management firm’s compliance, auditing or risk function preferred, previous experience with regulatory agency a plus
Broad knowledge of federal securities laws and regulations (SEC, FINRA, ERISA), including requirements under the Investment Advisers Act and Investment Company Act of 1940
Working understanding of a wide range of security types, including equities, fixed income, and derivatives
Familiarity with trading systems and related compliance components (e.g., Charles River)
Strong verbal and written communication skills with proven negotiation and influence abilities
Excellent interpersonal skills with the ability to work effectively across all levels and a strong results-oriented mindset
Demonstrated ability to identify, analyze, and thoroughly investigate potential issues and determine appropriate actions
Ability to learn quickly, apply strategic thinking, and understand the broader impact of issues and associated risks
Self-starter with strong motivation and proficiency in Microsoft Office applications

Flexible paid time off
Hybrid work schedule
401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
Health & wellbeing benefits
Parental Leave benefits
Employee stock purchase plan

Compliance Manager

Key skills