What are the responsibilities and job description for the Compliance Manager position at Boston Partners Global Investors, Inc?
Position: Compliance Manager
Department: Compliance
Report To: Deputy Compliance Officer
Boston Partners is a global investment advisor with $110 billion in AUM and a longstanding reputation for superior client service. The organization is a premier provider of value equity investment products that are firmly rooted in fundamental research and are based on a disciplined investment philosophy and process. We focus on investing in companies with attractive value characteristics and strong business fundamentals where there is a catalyst for positive change. The firm was founded in 1995 and maintains offices in Boston, New York, California, and London. Boston Partners is an indirect, wholly owned subsidiary of ORIX Corporation of Japan. We are looking for a Compliance Manager in our Boston office to support our compliance program and work on a variety of time-sensitive and confidential investment-related matters.
Position Summary:
The Compliance Manager is responsible for overseeing and managing regulatory compliance within the Boston Partners, ensuring adherence to applicable laws, regulations, and internal policies. This role involves the development, implementation, and monitoring of effective compliance programs, risk assessments, internal audits, and training initiatives. The Compliance Manager collaborates closely with senior leadership, legal teams, and operational departments to proactively identify and mitigate compliance risks.
Major Responsibilities
Handle all aspects of equity compliance including, but not limited to:- Supervising the Guideline Monitoring team’s work
- Serving as a resource for investment and trading staff on compliance-related questions
- Developing and implementing an ongoing testing program of policies and procedures
- Assisting business groups in implementing corrective actions as a result of testing programs
- Assisting the business groups in addressing internal audit comments and external compliance examinations
- Reviewing due diligence questionnaires and disclosures Resolving trade errors
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- Policies and Procedures - Create policies and procedures as needed to conform to new or changing regulations and business needs
- Annual Review - Conduct annual review of policies and procedures in conjunction with compliance and legal teams
- Liaise with the Legal, Finance, Relationship Management, Investment Operations departments and others to resolve all pending matters
- Participate in senior-level Committee meetings such as Fair Valuation, Trade Oversight, Derivatives Risk, Liquidity Risk Management.
- Project – Organize and/or participate in projects as needed
Requirements
- Knowledge of securities regulations including the Securities Acts of 1933 and 1934; the Investment Advisers Act of 1940; the Investment Company Act of 1940
- Must have excellent oral and written communication skills
- Ability to manage multiple priorities
- Ability to conduct research
- Must be detailed oriented
- Ability to interact with various levels of personnel
- Ability to work in a 5 day in office environment required
Qualifications
- 7-10 years of relevant experience with equity securities, preferably in an asset management firm
- Bachelor’s degree required
- Experience in financial services compliance required
- Experience working in Charles River Order Management System preferred
Special Requirements
- Ability to work additional hours as warranted
The above declarations are not intended to be an all-inclusive list of the duties and responsibilities of the job described, nor are they intended to be such a listing of the skills and abilities required to do the job. Rather, they are intended only to describe the general nature of the job. We are an equal opportunity employer and value diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
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