Legal and Regulatory Compliance Specialist

Company Overview

We are a Boston-based investment manager that provides global and international equity investment strategies and fund products to institutional investors such as pension plans, endowments, foundations, and registered/unregistered commingled investment funds. We are a registered investment adviser with the U.S. Securities and Exchange Commission (SEC), and a registered commodity trading advisor and commodity pool operator with the U.S. Commodity Futures Trading Commission (CFTC).  Our firm manages over $90 billion for over 175 client relationships in North America, Europe and Australasia.  Our offices are located at 200 Clarendon Street, Boston, Massachusetts.


The Legal and Regulatory Compliance Team

We are a small team of experienced lawyers and compliance professionals responsible for managing the complex legal and regulatory needs of the firm on a global basis.  We are seeking an entrepreneurial, business-minded legal and compliance professional to join our team to provide pro-active legal and compliance support to our institutional asset management business.  The professional who fills this position will be a significant contributor to our global compliance effort on a wide variety of matters.  We believe strongly in the development and mentoring of our professionals.



  • Contribute to the implementation, evaluation, and development of the firm’s existing compliance program to ensure compliance with applicable regulations and industry best practices
  • Proactively monitor global regulatory developments and work with the Chief Compliance Officer and Head of Regulatory Compliance to devise internal and external communication and implementation strategies
  • Provide regulatory advice to the business groups and collaborate with stakeholders on compliance related projects
  • Support day-to-day legal and regulatory efforts, such as product and marketing reviews, corporate actions and vendor contracts
  • Assist the Chief Compliance Officer and Head of Regulatory Compliance with compliance-related projects


Our Ideal Candidate

  • Is a self-starter that works proactively and thinks both strategically and tactically
  • Identifies opportunities to improve existing processes and procedures
  • Is able to work in a dynamic environment and prioritize under tight deadlines
  • Maintains a superior work ethic and strong analytical and organizational skills and attention to detail
  • Has excellent interpersonal, verbal and written communication skills and is able to work collaboratively


  • 4+ years of legal and regulatory compliance at an established investment manager, hedge fund or similar service provider (JD preferred)
  • An understanding of the laws, rules and regulations applicable to investment managers
  • Ability to exercise sound judgment and discretion
  • Comfortable being the primary contact on compliance-related inquiries and escalating matters as needed


Qualified candidates can apply by sending their resume to No telephone calls please.