Updated – November 16, 2022
Financial Services Positions:
Terrific opportunity, reporting to the Chief Compliance Officer, North America and working closely with the Associate Director of Compliance in charge of Distribution Compliance. This is a generalist role with at least 50% focused on Marketing and will be responsible for leading the firm’s US Marketing Compliance Program and for developing and supporting policies, procedures and controls to ensure that Impax Asset Management complies with applicable rules and regulations related to marketing and advertising.
- Manage the day-to-day operations of the Firm’s marketing compliance program, including directly overseeing reviews of advertising and marketing materials, and monitoring marketing activities and related operational practices to promote compliance with internal policies, applicable rules and regulations.
- Work closely with Marketing and Sales colleagues and third-party distribution partners to develop policies, procedures and controls to assist with efficient functioning of marketing materials delivery and workflows.
- Collaborate globally with colleagues to support marketing initiatives, material reviews, and to ensure compliance with global marketing standards.
- Contribute to the risk-based review objectives, scope and testing strategies to assess adequacy and effectiveness of marketing compliance program policies and controls.
- Assist with the development of targeted training content and the delivery of training to employees.
Minimum of 5+ years of experience in compliance roles within an investment adviser organization.
– Bachelor’s degree, preferably with a concentration in law, business, finance or accounting
– Understanding of securities laws, rules and regulations applicable to registered investment advisers, SEC-registered mutual funds and private fund offerings, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, Regulation D and the SEC Advertising Rule.
– Series 7 and 63 required, 24 preferred (or willingness to achieve within 12 months of employment)
– Ability to conduct compliance marketing review on Firm and 1940 Act Registered Funds marketing materials to promote compliance with the SEC Advertising Rule
Excellent Compensation, Benefits and Quality of Work-Life.
Accounting /Manager – Boston, MA (Multi-Family Office) – Duties focus primarily on overseeing a team of Associates who are responsible for the day-to-day functional administrative accounting and administrative needs for an assigned portfolio of clients.
Managers’ responsibilities focus on guiding the team and reviewing the full-cycle of books and records for their clients, which generally includes: managing the bill pay process ensuring for accuracy and completeness; properly recording journal entries for detailed P&L; capturing balance sheet items and identifying tax-deductible expenses as well as preparation of standard or ad hoc client reports. Additional duties may include oversight of other significant items to include, reconciling credit card, bank account and investment activity; assisting with standard and special projects related to a client’s estate planning needs; as well as relevant insurance items regarding various properties and holdings. As your proficiencies, competencies and subject matter expertise develops, you would be expected to take on more complex aspects of our client’s needs and participate more directly with client communications and their external provider network.
BS/Accounting – CPA would be helpful; 5 + yrs. experience with G/L and GAAP; hands-on skills in QuickBooks; Excel and the ability to interface with all levels and outside professionals.
Legal Positions: No Searches presently
Legal Counsel / Contract Counsel – (In-House – Multiple Openings) Exciting new positions for transactional lawyers looking to further their careers in busy corporations …this is a great time to get on-board if you have significant experience in Contracts, OEM agreements, distribution/licensing agreements aneneral transactional and corporate/secretarial matters. Must have significant experience in a broad array of general corporate law matters and contractsgotiations; and advanced counseling skills to work with internal clients; 5+ years experience; JD with distinction; outstanding communication skills; integrity and competenc
Technology Related Positions: No Searches presently
Feel free to call us and inquire about any unlisted opportunities; we are always seeking candidates with experience in any of the specialty areas we represent.
Interested in any of the above positions – please email your resume to: email@example.com