Regulatory Compliance and Controls 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 team of experienced lawyers, auditors and compliance professionals responsible for managing the complex legal and regulatory needs of the firm on a global basis.  We are also responsible for the structuring, formation and administration of several commingled fund families, including registered and unregistered long-only and hedge funds.

We are seeking an entrepreneurial, business-minded compliance professional to join our team to provide pro-active 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.



  • Risk Identification, Assessment, and Management. Serving as a key contributor to the identification and mitigation of the firms risks across business groups.  This includes supporting the firm’s annual (and ongoing) regulatory assessment and forensic testing of the firm’s compliance policies and procedures and related internal control environment, as well as taking a lead role in managing the firm’s external assessments (e.g., SOC-1).
  • Compliance Policies and Procedures. Regularly review, suggest and implement improvements to existing policies and procedures, including the firm’s Code of Ethics. Assist in responding to compliance-related requests from our clients and in reviewing firm marketing materials.
  • Project Management. Take a lead role in managing and implementing short and long term projects on a wide variety of matters, including working with application developers and business analysts on automation 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



  • 3+ years of regulatory compliance or similar experience at an established investment manager, hedge fund or similar service provider (internal audit or internal assessment experience preferred, but not required)
  • Data management and technical skills are preferred, but not required (e.g., SQL queries and Microsoft Excel)
  • 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.