Compliance Officer

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.