Job Overview – Senior Compliance Advisor (Investment Conflicts):
Compensation: $130,000 – $160,000/year + bonus
Location: Boston, MA
Schedule: Monday to Friday (Hybrid)
Atlantic Group is representing a high-impact opportunity with our client for a Senior Compliance Advisor (Investment Conflicts) in Boston, MA (Hybrid). This strategic compliance role focuses on advising on conflicts of interest across investment strategies while supporting regulatory disclosures and cross-functional initiatives. You’ll work closely with legal, risk, and tech teams and contribute to system automation efforts, including AI-based compliance tools. Ideal candidates have experience in investment management compliance and a strong understanding of the Advisers Act of 1940.
Responsibilities as the Senior Compliance Advisor (Investment Conflicts):
- Conflicts Advisory: Provide real-time guidance on conflicts of interest across investment strategies, working closely with compliance, legal, and business teams.
- Committee Support: Draft memoranda and present conflict analyses to the Global Conflicts Committee and internal stakeholders.
- Regulatory Coordination: Liaise with external counsel and prepare disclosures and regulatory responses related to conflicts.
- System Integration: Advise on conflicts system enhancements and support integration of new business lines, including automation and AI tools.
- Cross-Functional Collaboration: Partner with legal, compliance, and control teams on audits, testing, and risk assessments.
- Training & Engagement: Lead conflict-related compliance training and participate in industry initiatives focused on regulatory trends.
Qualifications for the Senior Compliance Advisor (Investment Conflicts):
- Education: Juris Doctor (JD) and undergraduate degree required from accredited institutions.
- Experience: 5+ years of relevant legal or compliance experience in a top law firm or investment management firm, with direct exposure to transaction work and conflict analysis.
- Industry Knowledge: Demonstrated subject matter expertise in the Investment Advisers Act of 1940 and best practices in conflicts governance.
- Technical Proficiency: Proficient in Microsoft Word, Excel, and PowerPoint, with familiarity in data analytics platforms and experience with compliance technology systems preferred.
- Attributes: Highly organized and collaborative, with excellent judgment, stakeholder management skills, and the ability to manage multiple complex projects with professionalism and precision.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.