Compliance Coordinator (Full Time / Hybrid)

Posted 4 months ago

 Position: Compliance Coordinator 

Location: Boston, MA 

Reporting to: Chief Compliance Officer 

Position Overview: 

This role represents an exciting opportunity for someone who is proactive and organized to support the Chief Compliance Officer and the compliance team at a top tier private equity firm. In addition to providing daily support to the Chief Compliance Officer, the key requirements of the Coordinator role include updating critical compliance approval and tracking logs, organization of firm-wide certifications and disclosure documents, calendaring trainings and key meetings will all levels of firm staff, providing support for employee personal trading reporting, compliance policy monitoring and testing support, and additional tasks depending on the skill sets of the candidate. This person must be able to handle personal and confidential information with the utmost professionalism, be driven and extremely organized, and be able to build relationships across the firm. 

Specific Compliance Responsibilities: 

This role will own or provide support on certain activities and projects such as, but not limited to the following: 

• Maintain accurate and up-to-date logs and records, documenting marketing material reviews and deal checklists 

• Coordinate the completion of periodic compliance certifications and employee disclosure forms 

• Assist with employee compliance reporting requirements with respect to Code of Ethics, personal trading, outside affiliations, gift and entertainment, political contributions and other policies including record keeping of actions and approvals whether in our compliance portal or in our supporting records 

• Contribute to quarterly and annual monitoring and testing which may include exporting reports from the Compliance portal and reviewing the information to prepare reports on employee activities, organizing and reviewing expert network usage reports and recordkeeping regarding export controls and sanctions compliance risk 

• Assist with anti-money laundering and know-your-customer requests 

• Collaboration and, in some instances, ownership of project-based work related to the development and implementation of compliance-related processes and procedures 

General Support Responsibilities: 

• Support the CCO and the Compliance Team by proactively managing team calendars, tasks and upcoming action items, and suggesting areas where he or she can help 

• Schedule meetings/calls using Outlook, including proactively working with scheduled training attendees to reduce the number of make-up sessions needed 

• Manage DocuSign and hard copy employee signatures on periodic annual certifications and acknowledgments 

• Keep accurate and complete records and be able to suggest better ways to ensure more efficient recordkeeping 

• Answer phone for the CCO 

• Make travel arrangements (domestic & international) including flight reservations, hotel accommodations, car service, visa applications, etc. when needed. 

• Data entry and management 

• Prepare, edit and manage Excel logs, PowerPoint presentations and Word documents 

• Copying, faxing, filing, scanning, mailing overnight/shipping as required 

• Process expense reports for reimbursement 

• Assist with ad hoc projects as needed 

Job Qualifications/Characteristics of an Outstanding Performer: 

• Ability to handle confidential information with discretion 

• Ability to juggle multiple assignments at once in a fast-paced environment 

• Eagerness and ability to learn compliance regulations 

• Great attention to detail and strong organizational skills 

• Proactive approach to daily work and projects; strong work ethic 

• Team player who can also work independently with an excellent attitude 

• A hard worker with a “roll up your sleeves” attitude who is motivated to do whatever it takes to get the job done 

• A dedicated, detail-oriented, enthusiastic and energetic professional who has: o A high degree of service orientation towards everyone inside and outside the organization 

o A high standard of integrity, character and professionalism 

o An ability to prioritize workflow in a challenging and evolving environment 

o Solid communication skills, both written and verbal 

o Strong analytical, organizational and interpersonal skills 

o Strong MS Office skills, including Word, Excel and PowerPoint 

Desired Background/Education: 

• Bachelor’s degree, strong academic credentials 

• 3-10 years post undergraduate experience 

• Experience in an administrative/support role at a financial, consulting, or legal firm preferred 

• Experience supporting a legal or compliance team a plus 

Compensation and Benefits: 

• A highly competitive package that includes a base salary plus annual performance bonus 

• Company currently pays 100% of medical, dental, disability and life insurance coverage 

• Company contributes an amount equal to 15% of compensation to employee-directed retirement account