Regulatory Compliance

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).

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.

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
  
  

Our Ideal Candidate

• 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
  
  

Qualifications

• 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
  
  

The base salary range for this position is $90,000 - $275,000 per year.

Arrowstreet Capital operates a robust talent acquisition program, and we also seek to compensate and reward our employees competitively within our industry and in line with our merit-based culture. Our approach to total compensation includes base salaries and annual discretionary bonuses, as well as a robust benefits package. The determination of a successful candidate’s base salary placement within the listed range will vary based on the candidate’s relevant experience and qualifications (which may also include relevant certifications, credentials and other education), the job responsibilities and scope, the commensurate resulting level of the position and other relevant factors. The listed range is also an estimate, and additional information regarding base salary and other elements of total compensation offered by Arrowstreet Capital to successful applicants will be communicated during the recruitment process.

Arrowstreet Capital is a Boston-based systematic investment firm that manages global equity portfolios for institutional investors around the world.

All qualified applicants will receive consideration for employment without regard to sex, race, color, religion, national origin, ancestry, genetic information, age, pregnancy, medical condition, disability, veteran or military status, marital status or any other characteristic protected by federal, state, or local law.

Arrowstreet Capital is committed to working with and providing reasonable accommodations for qualified individuals with disabilities and disabled veterans. If you need a reasonable accommodation for any part of the employment process due to a disability, contact us to discuss the nature of your request and contact information.