What are the responsibilities and job description for the Compliance Specialist position at Larson Maddox?
Job Title : Compliance Specialist
Location : Boston, MA (Hybrid - 3 days in-office per week)
Salary : $75,000 - $80,000 / year Bonus
Industry : Investment Management (Institutional Clients)
Company Overview :
Our client is a leading investment firm specializing in providing high-quality financial services to institutional clients. With a focus on compliance excellence, they're looking for a diligent Compliance Specialist to join their team and assist with key regulatory functions.
Position Overview :
As a Compliance Specialist, you will play a critical role in supporting the Head of Compliance in managing the firm's regulatory requirements. You will assist with a variety of compliance-related tasks, including regulatory filings, corporate actions, and the preparation of Form ADV. This position offers an excellent opportunity to develop your career in a dynamic and supportive environment within the investment management industry.
Key Responsibilities :
- Assist the Head of Compliance with day-to-day compliance operations, ensuring adherence to regulatory guidelines.
- Prepare and submit regulatory filings, including but not limited to Form ADV and other required documents.
- Support the corporate actions process, ensuring proper compliance with relevant regulations.
- Maintain and update compliance-related documentation and records.
- Monitor and track changes in regulatory requirements to ensure the firm's continued compliance.
- Work closely with internal departments to ensure smooth and timely completion of compliance-related tasks.
- Participate in internal audits and risk assessments as needed.
Qualifications :
Additional Information :
Salary : $75,000 - $80,000
