CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Please Enable Cookies to Continue Please enable cookies in your browser to experience all the personalized features of this site, including the ability to apply for a job. Returning Candidate?
Regional Compliance Officer Job Locations US-MA-BostonPosted Date 12 hours ago(1/15/2020 5:01 PM) Job ID 2020-2322 # of Openings 1 Category Compliance
Boston Private is a leading provider of fully integrated wealth management, trust and private banking services. For more than 25 years, Boston Private has taken a highly personalized approach to serving the complex financial needs of individuals, families, business owners, private partnerships, nonprofits and community partners. Boston Private is also an active provider of financing for affordable housing, first-time homebuyers, economic development, social services, community revitalization and small businesses.
Headquartered in Boston, Boston Private has offices across the U.S. including Boston, San Francisco, San Jose, Los Angeles and South Florida. Private banking and trust services are provided through Boston Private Bank & Trust Company. Wealth management services are provided through Boston Private Wealth LLC, an SEC registered investment adviser and a wholly owned subsidiary of Boston Private Bank & Trust Company.
The Regional Compliance Officer supports on-site day-to-day elements of the Compliance Program to help ensure compliance with all applicable laws, regulations, and firm policies. This position is highly collaborative and integral to the smooth function of the compliance program across the organization.
Interface with advisors, operations, service teams and management in the region; respond to and resolve compliance issues as they arise
Perform compliance testing and administer monitoring program
Identify compliance/legal issues facing the firm
Help resolve audit items identified by the company's internal and external auditors
Support the administration and implementation of compliance training program
Assist with updating and implementation of policies and procedures
Stay aware of changes to laws, regulations and examination trends
Maintain records related to regulatory changes and compliance training
Create materials in support of various compliance-related projects
Administer records retention program and software
Participate in and complete reports related to after-hours security sweeps
Perform regulatory research as needed
3-5 years experience as a compliance officer/analyst, compliance consultant, internal auditor, attorney or paralegal serving the financial services industry. Ideal candidate will have experience with the Investment Advisers Act of 1940 and its attendant regulations. Working knowledge of the Securities an Exchange Acts of 1933/34 would be helpful.
Experience with a Registered Investment Adviser, hedge fund or private equity firm highly preferred.
Internal control experience and certifications in audit or compliance preferred, but not required
Excellent communication skills
Ability to collaborate with others or work independently as the situation dictates
Strong ability to write clear and concise policies, procedures, and reports
Excellent organizational and project management skills - ability to manage multiple tasks and projects simultaneously
Bachelor's degree or equivalent experience, D. helpful but not required
Strong Word, Excel, PowerPoint, and Outlook skills
Boston Private is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.
Options Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed