Compliance Manager - (US-MA-Boston - 02298)

Minimum Education: None
Job Type: Full Time
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Responsibilities : The first is business unit compliance officers, which will generally be co-located with the various business units, providing advice and general compliance support, as well as addressing business unit specific issues and drafting line of business specific policies and procedures. The business unit compliance officers will generally serve as the first point of contact for all compliance related issues and questions that arise in the business. The second function is the compliance infrastructure. This function will provide corporate level or cross business unit support. The compliance infrastructure functions will include: registration; compliance review and monitoring; ethical walls and control room; policies and procedures; continuing education support; and personal trading. This control room function will primarily focus on the Sankaty Advisors Fixed ome Business. OverviewThis position will report to the CCO/ Senior Business Unit Compliance OfficerThis position will have responsibility for compliance within one or more of the Bain Capital lines of business, specifically the Snakaty Advisors Fixed ome Business. This position will serve as the first point of contact for questions from the business on compliance topics. They will also be responsible for identifying compliance and control issues that need to be addressed within the business and working with the business to develop and implement solutions. They should be considered the primary face of compliance to the business; and the face of the business to the broader compliance department and the regulators. Specific responsibilities may include some or all of the following responsibilities.

Requirements : Prior experience and working knowledge of compliance functions. Prior experience and knowledge with products in which the business is dealing, including: fixed income, CLO and all forms of derivatives, loan investments, LCDS, CDS, interest rate swaps, mortgage backed securities and other fixed income structures.. Experience with Investment Advisory laws and rules (40 Act), as well as other securities related laws and rules (33 and 34 Acts.) Prior hands on compliance experience: either as a compliance officer in an investment bank or institutional asset management firm: or regulator in the securities industry. Prior experience drafting policies and procedures, as well as creating compliance processes and technology. Knowledgeable of issues related to investor eligibility, suitability, KYC and AML requirements.

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