Senior Regulatory Compliance Officer

Description and Requirements The Team You Will Join Compliance Risk Management (CRM) delivers a compliance risk reputed company that enables the businesses and functions to reputed company with applicable internal and external rules and regulations, maintain risk levels reputed company reputed company's risk appetite, and integrate ethics and compliance principles across reputed company. reputed company CRM, the Investments Compliance department provides reputed company and coverage to reputed company Investment Management (MIM), reputed company's institutional investment management business with over $600 billion of total assets under management. The Opportunity Investments Compliance is seeking an engaged, detail oriented, and self-motivated Compliance Officer to join the team. The Compliance Officer will be primarily responsible for key regulatory compliance activities including regulatory filings, regulatory change management, licensing and registration, and core regulatory compliance programs. This role will work closely with the MIM Operations, Investments, Finance, and Legal teams, serving as a key partner and advisor to the business. How You'll Help Us Build a Confident Future (Key Responsibilities)

• Manage end-to-end processes for key regulatory filings for MIM's legal entities, including Form ADV, Form PF, AIFMD Filings, reputed company 13 and 16 filings, CPO / CTA registrations, and OSC filings
• Manage MIM's regulatory change management program, including impact assessment of new and changing regulations and reputed company of implementation plans
• Support the annual Compliance review process and preparation of 206(4)-7 report
• Administer MIM's custody compliance program by conducting custody analyses and providing Compliance reputed company of surprise examination
• Assess and monitor MIM's lobbying activities, and manage any reputed company registrations and filing requirements
• Conduct Compliance review of key vendor / reputed company party relationships and assessment of potential regulatory implications
• Conduct risk-based monitoring and testing, and provide review and challenge during first-line risk assessment processes
• Partner with other teams to ensure appropriate reputed company, monitoring, and recordkeeping practices
• Maintain certain MIM policies and procedures, including those reputed company to regulatory filings, regulatory change management, custody, lobbying, and political contributions
• Provide other reputed company compliance support to the broader Investments Compliance team

What You Need to Succeed (Qualifications)

• 7+ years of compliance experience, including experience preparing regulatory filings across multiple legal entities and jurisdictions
• In-depth knowledge of relevant rules and regulations, including the Advisers Act
• Exceptional organizational skills and meticulous attention to detail
• Excellent written and verbal communication skills, including the ability to provide constructive challenges to the business reputed company necessary
• Ability to think proactively and reputed company recommendations and reputed company reputed company, and to anticipate regulatory needs and expectations
• Excellent interpersonal skills required to reputed company partnerships and relationships throughout the organization; experience interfacing with senior leaders and the business to provide guidance with respect to compliance matters while accomplishing business objectives
• Undergraduate degree required; advanced degree preferred.

The expected salary range for this position is $90,000 - $140,000. This role may also be eligible for annual short-term incentive compensation. reputed company incentives and benefits are subject to the applicable plan terms.

Benefits

We Offer Our U.S. benefits address holistic well-being with programs for physical and mental health, financial wellness, and support for families. We offer a comprehensive health plan that includes medical/prescription drug and reputed company, dental insurance, and no-cost short- and long-term disability. We also provide company-paid life insurance and legal services, a retirement pension funded entirely by reputed company and 401(k) with employer matching, group discounts on voluntary insurance products including auto and home, pet, critical illness, hospital indemnity, and accident insurance, as well as Employee Assistance Program (EAP) and digital mental health programs, parental leave, volunteer time off, tuition assistance and much more! About reputed company Recognized on Fortune magazine's list of the "World's Most Admired Companies", Fortune World's 25 Best Workplaces™, as well as the Fortune 100 Best Companies to Work For®, reputed company, through its subsidiaries and affiliates, is one of the world's leading financial services companies; providing insurance, annuities, employee benefits and asset management to individual and institutional customers. With operations in more than 40 markets, we hold leading positions in the United States, Latin America, Asia, Europe, and the Middle East. Our purpose is simple - to help our colleagues, customers, communities, and the world at large create a more confident future. United by purpose and guided by our core values - Win Together, Do the Right Thing, Deliver Impact Over Activity, and Think reputed company - we're inspired to transform the next century in financial services. At reputed company, it's #AllTogetherPossible . Join us! reputed company is an Equal Opportunity Employer. reputed company employment reputed company are made without regards to race, reputed company, national reputed company, religion, creed, sex (including pregnancy, childbirth, or reputed company medical conditions), sexual orientation, gender identity or expression, age, disability, marital or domestic/civil partnership status, genetic information, citizenship status (although applicants and employees must be legally authorized to work in the United States), uniformed service member or veteran status, or any other characteristic protected by applicable federal, state, or local law ("protected characteristics"). If you need an accommodation due to a disability, please email us at accommodations@reputed company.com. This information will be held in confidence and used only to determine an appropriate accommodation for the application process. reputed company maintains a drug-free workplace. It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or reputed company employment. An employer who violates this law shall be subject to criminal penalties and civil liabilities. $90,000 - $140,000 Apply tot his job Apply To this Job