Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Lead compliance programs and manage legal transactions in a dynamic investment firm.
- Company: Join a Boston-based investment management firm known for its innovative approach.
- Benefits: Enjoy competitive salary, medical and vision insurance, and a 401(k) plan.
- Why this job: Make a real impact in compliance while working in a supportive and ethical environment.
- Qualifications: Must have a Juris Doctor and 8+ years of RIA compliance experience.
- Other info: This is a full-time mid-senior level position with significant growth opportunities.
The predicted salary is between 126000 - 174000 £ per year.
Our client, a Boston based investment management firm, is looking to hire a Senior Compliance Officer / Associate Counsel to lead their compliance program. This role will have generalist compliance responsibilities in addition to legal transactional and contract work.
Responsibilities:
- Oversight of the compliance program across all entities of the organization
- Code of ethics, compliance manual, custody audit & client onboarding
- Lead the firm through SEC examinations
- Provide risk assessments and regulatory audits
- Draft, review and negotiate agreements and contracts
Requirements:
- Juris Doctor
- 8+ years of RIA compliance experience
Seniority level: Mid-Senior level
Employment type: Full-time
Job function: Finance and Legal
Industries: Financial Services and Law Practice
Senior Compliance Officer / Associate Counsel employer: Danos Group
Contact Detail:
Danos Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer / Associate Counsel
✨Tip Number 1
Network with professionals in the compliance and legal fields, especially those who have experience in investment management. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in compliance.
✨Tip Number 2
Familiarise yourself with the specific regulations and compliance frameworks relevant to investment management firms. This knowledge will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Prepare for potential interview questions by reviewing common compliance scenarios and how you would handle them. Think about your past experiences and be ready to discuss how you've successfully navigated compliance challenges.
✨Tip Number 4
Showcase your leadership skills and ability to manage compliance programmes effectively. Be prepared to discuss examples of how you've led teams or initiatives in previous roles, as this is crucial for a Senior Compliance Officer position.
We think you need these skills to ace Senior Compliance Officer / Associate Counsel
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Senior Compliance Officer / Associate Counsel. Familiarise yourself with compliance programs, SEC examinations, and contract negotiations to tailor your application effectively.
Highlight Relevant Experience: In your CV and cover letter, emphasise your 8+ years of RIA compliance experience. Provide specific examples of how you've led compliance initiatives or handled legal transactional work in previous roles.
Craft a Strong Cover Letter: Your cover letter should not only express your interest in the position but also demonstrate your understanding of the firm's compliance needs. Mention your Juris Doctor degree and how it complements your compliance expertise.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. A polished application reflects your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at Danos Group
✨Understand the Compliance Landscape
Familiarise yourself with the current compliance regulations and standards relevant to investment management firms. Being able to discuss recent changes in SEC regulations or compliance best practices will demonstrate your expertise and commitment to the role.
✨Showcase Your Legal Acumen
Prepare to discuss your experience with drafting, reviewing, and negotiating contracts. Bring examples of complex agreements you've worked on, and be ready to explain how you navigated any challenges during those processes.
✨Highlight Risk Assessment Skills
Be prepared to talk about your approach to conducting risk assessments and regulatory audits. Share specific instances where your assessments led to significant improvements in compliance or risk management within your previous roles.
✨Demonstrate Leadership in Compliance
Since this role involves leading the compliance programme, think of examples where you've successfully led a team or initiative. Discuss how you fostered a culture of compliance and ethics within your organisation, as this will resonate well with the interviewers.
