Regulatory Compliance

Arrowstreet Capital•Boston, MA

1d•$90,000 - $275,000

About The Position

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). The Regulatory Compliance Team We help to oversee the compliance related activities associated with managing the complex legal and regulatory needs of the firm on a global basis. We are responsible for managing the firm’s compliance policies and procedures, meeting regulatory reporting obligations and administering the firm’s Code of Ethics. Completing these responsibilities requires extensive collaboration with colleagues throughout the organization. We are seeking an experienced, senior compliance professional to join and lead our team in providing proactive compliance support to our institutional asset management business. The professional who fills this position will be a well-rounded compliance professional with proven managerial experience and expertise supporting a global compliance effort on a wide variety of matters. The position will afford an individual with opportunities to apply their experience and analytical skills to a wide variety of projects and technological enhancements. We believe strongly in the development and mentoring of our professionals.

Requirements

12-15 years of regulatory compliance experience, with at least 8 years an established investment manager
Has a strong knowledge of the securities laws (e.g., the Investment Advisers Act of 1940) and experience with CFTC regulations (preferred)
Experience leading teams and large-scale projects
Is a self-starter that works proactively and thinks both strategically and tactically
Maintains a superior work ethic
Is able to thrive in a dynamic, fast paced environment and prioritize under tight deadlines
Effectively collaborates across teams/functions and also works autonomously, with minimal supervision, when appropriate
Has strong analytical and organizational skills and a strong attention to detail
Has excellent communication skills – oral and written
Has a strong executive presence and is able to present work product to investment and technology colleagues at all levels of the organization
Identifies opportunities to improve existing processes and procedures
Is knowledgeable of, and experienced with, industry best practices in compliance

Responsibilities

Overseeing and managing the following compliance function, policies and teams including:
Global regulatory filings
Global substantial shareholder ownership reporting
Global short position reporting
Global derivatives reporting
SEC based filings (Form ADV, 13F, etc.)
U.S. Treasury filings (TIC forms)
Code of Ethics
Personal trading policy, training, tools and communications
Political contribution policy, training, tools and communications
Firmwide compliance training
Marketing Review of marketing materials
Support of due diligence requests, ad hoc inquiries, client questionnaires, etc.
Leading, managing and contributing to the professional development of team members
Actively identifying and leading initiatives to implement enhancements to policies and procedures, with a focus on leveraging technology to mitigate risk and promote operational efficiencies
Collaborating with senior leaders to develop strategic compliance objectives and implement accordingly
Collaborating across departments across the firm to provide guidance and gather insights