Staffing Specialist
Full Time
Boston, MA 02116
$70.00 - $76.36 a day
Posted Today
Job description
Job Description:
- The Investment Compliance Training Specialist will partner across both Client Mutual Investments and with an external vendor (RegED) to create custom course transcripts, that will then be developed by a third-party vendor into online courses for Client Mutual Investments Supervised Persons and Access Persons.
- The Training Specialist, will be responsible for all aspects of these courses, including content creation, drafting system course notifications, reminder emails, working with Compliance Staff to determine audience, and partnering with the vendor to deploy the course(s).
- Create a custom course outline that adheres to RegEDs requirements.
- This course should be developed using Client Mutual Investments Personal Trading Policy and incorporate both firm practices and recent enforcement actions, and no action letters (published by the SEC related to the Investment Advisers Act of 1940), so new and existing employees gain a better understanding of Client Mutual Investments Internal Policies and what some real-world violations look like.
- Additionally, this course should go over how to create disclosures in the firms’ Compliance Reporting and Disclosure system (MCO).
- Create additional custom courses, as time permits, on various topics including but not limited to Gifts & Entertainment, Outside Boards Seats and Business Activities, Information Barrier & Protecting Confidential Information, Supervisory Responsibilities, etc.
- These courses will follow the same format as above and will require combining both internal Policy information as well as relevant aspects of the Investment Advisers Act of 1940.
- Once courses are created, this person will be responsible for partnering with Compliance Management to draft the firm’s communication plan around deployment, course reminders, overdue notices, etc.
- This candidate will then partner with the third party vendor to update the RegED platform accordingly.
- Provide support on other investment adviser projects and initiatives.
- Advanced knowledge of the Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and ERISA regulations
- Strong understanding of various asset classes, including real estate, private equity, bonds, and structured finance
- Excellent communication skills, both written and verbal
- Experience with course design and distilling down complex rules and regulations
- Experience with Compliance Reporting and Disclosure systems (e.g. MyComplianceOffice, StarCompliance, CompySci, etc.) is preferred but not required
- Location: Remote, any US time zone (local to Boston area preferred)
- Duration: 3 months+
Preferred: Investment Adviser Act 1940 Training experience
Pay Range: $70 - $76.36
The specific compensation for this position will be determined by a number of factors, including the scope, complexity and location of the role as well as the cost of labor in the market; the skills, education, training, credentials and experience of the candidate; and other conditions of employment. Our full-time consultants have access to benefits including medical, dental, vision as well as 401K contributions.
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