Solomon Page
Vice President at Solomon Page | Specializing in legal talent acquisition for private practices and in-house legal departments
Our client, a growth equity firm in Boston with billions in AUM, is looking to add a compliance officer to their team. We placed the head US compliance counsel onto their team earlier this year; now that that lawyer has gotten settled, they've enlisted our help with this new search. They're seeking a professional with at least three years' experience handling regulatory/compliance work for investment management clients (preferably RIA requirements of the SEC). The successful candidate will be an integral part of the business’ compliance team and interface regularly with the company's business and legal teams as well as deal with regulators and counterparties. It's a highly collaborative group with an excellent culture and extremely low attrition. The role is hybrid. Our client would cover relocation costs for this position.
Base pay range $120,000.00/yr - $160,000.00/yr
Additional compensation types
Annual Bonus
Direct message the job poster from Solomon Page
Responsibilities
Support the build-out and day-to-day administration of the firm’s U.S. regulatory compliance program, including responsibilities tied to its SEC investment adviser registration and related requirements under the Advisers Act.
Contribute to the preparation and submission of recurring regulatory reports and filings, such as adviser disclosure documents and private fund reporting.
Manage employee-level compliance processes—including personal securities transactions, outside affiliations, gift/entertainment activity, and political-spending reviews—using the firm’s compliance platforms.
Play an active role in the annual and ongoing compliance testing cycle by helping identify risks, perform monitoring and testing, and assist with the creation, rollout, and refinement of internal controls.
Maintain thorough records of compliance activities and support the documentation of how the firm evaluates and resolves discrete compliance issues.
Collaborate with colleagues in Legal and Investor Relations to vet external communications, including marketing materials, media statements, and digital content.
Provide support for the firm’s financial-crime prevention framework, including anti-money-laundering and anti-corruption procedures.
Assist with responses to regulatory or governmental requests for information.
Help advance the compliance infrastructure for the firm’s non-U.S. operations, including the development and oversight of international compliance procedures.
Required Qualifications
3–5 years of experience working in a regulatory or compliance capacity, ideally with direct exposure to SEC obligations applicable to registered investment advisers;
Prior involvement with SEC exams, compliance technology platforms (e.g., ComplySci), and/or work touching on M&A, securities regulation, fund formation, or investor relations is a meaningful plus;
Proven ability to operate with energy and resilience, manage competing demands, and make sound, timely decisions;
A resourceful and adaptable mindset, with strong risk-awareness and the capacity to apply existing knowledge to new or evolving situations;
Mindfulness of deadlines paired with strong business judgment, plus the ability to think both strategically and operationally;
Unimpeachable discretion and professionalism, especially when handling sensitive or confidential information;
Exceptional written and verbal communication skills, with the ability to convey ideas clearly to a wide range of stakeholders and audiences; strong organizational abilities;
Thrives in a collaborative environment and willing to take a hands‑on approach while balancing multiple workstreams;
A track record of exemplary ethics and integrity;
Recognized as a cooperative, team‑focused colleague;
Comfort working with cross‑functional teams; and
Strong attention to detail.
If you meet the required qualifications and are interested in this role, please apply today.
The Solomon Page Distinction Our teams, comprised of subject matter experts, develop an interest in your preferences and goals and we act as an advisor for your career advancement. Solomon Page has an extensive network of established clients which allows us to present opportunities that are well‑suited to your respective goals and needs – this specialized approach sets us apart in the industries we serve.
About Solomon Page Founded in 1990, Solomon Page is a specialty niche provider of staffing and executive search solutions across a wide array of functions and industries. The success of Solomon Page reflects an organic growth strategy supported by a highly entrepreneurial culture. Acting as a strategic partner to our clients and candidates, we focus on providing customized solutions and building long‑term relationships based on trust, respect, and the consistent delivery of excellent results. For more information and additional opportunities, visit:
solomonpage.com
and connect with us on Facebook, and LinkedIn.
Opportunity Awaits.
Seniority level
Associate
Employment type
Full-time
Job function
Legal
Industries
Investment Management
Referrals increase your chances of interviewing at Solomon Page by 2x
Inferred from the description for this job
Medical insurance
Vision insurance
401(k)
Child care support
Paid maternity leave
Paid paternity leave
Tuition assistance
Disability insurance
Get notified about new Compliance Officer jobs in
Boston, MA .
#J-18808-Ljbffr
Base pay range $120,000.00/yr - $160,000.00/yr
Additional compensation types
Annual Bonus
Direct message the job poster from Solomon Page
Responsibilities
Support the build-out and day-to-day administration of the firm’s U.S. regulatory compliance program, including responsibilities tied to its SEC investment adviser registration and related requirements under the Advisers Act.
Contribute to the preparation and submission of recurring regulatory reports and filings, such as adviser disclosure documents and private fund reporting.
Manage employee-level compliance processes—including personal securities transactions, outside affiliations, gift/entertainment activity, and political-spending reviews—using the firm’s compliance platforms.
Play an active role in the annual and ongoing compliance testing cycle by helping identify risks, perform monitoring and testing, and assist with the creation, rollout, and refinement of internal controls.
Maintain thorough records of compliance activities and support the documentation of how the firm evaluates and resolves discrete compliance issues.
Collaborate with colleagues in Legal and Investor Relations to vet external communications, including marketing materials, media statements, and digital content.
Provide support for the firm’s financial-crime prevention framework, including anti-money-laundering and anti-corruption procedures.
Assist with responses to regulatory or governmental requests for information.
Help advance the compliance infrastructure for the firm’s non-U.S. operations, including the development and oversight of international compliance procedures.
Required Qualifications
3–5 years of experience working in a regulatory or compliance capacity, ideally with direct exposure to SEC obligations applicable to registered investment advisers;
Prior involvement with SEC exams, compliance technology platforms (e.g., ComplySci), and/or work touching on M&A, securities regulation, fund formation, or investor relations is a meaningful plus;
Proven ability to operate with energy and resilience, manage competing demands, and make sound, timely decisions;
A resourceful and adaptable mindset, with strong risk-awareness and the capacity to apply existing knowledge to new or evolving situations;
Mindfulness of deadlines paired with strong business judgment, plus the ability to think both strategically and operationally;
Unimpeachable discretion and professionalism, especially when handling sensitive or confidential information;
Exceptional written and verbal communication skills, with the ability to convey ideas clearly to a wide range of stakeholders and audiences; strong organizational abilities;
Thrives in a collaborative environment and willing to take a hands‑on approach while balancing multiple workstreams;
A track record of exemplary ethics and integrity;
Recognized as a cooperative, team‑focused colleague;
Comfort working with cross‑functional teams; and
Strong attention to detail.
If you meet the required qualifications and are interested in this role, please apply today.
The Solomon Page Distinction Our teams, comprised of subject matter experts, develop an interest in your preferences and goals and we act as an advisor for your career advancement. Solomon Page has an extensive network of established clients which allows us to present opportunities that are well‑suited to your respective goals and needs – this specialized approach sets us apart in the industries we serve.
About Solomon Page Founded in 1990, Solomon Page is a specialty niche provider of staffing and executive search solutions across a wide array of functions and industries. The success of Solomon Page reflects an organic growth strategy supported by a highly entrepreneurial culture. Acting as a strategic partner to our clients and candidates, we focus on providing customized solutions and building long‑term relationships based on trust, respect, and the consistent delivery of excellent results. For more information and additional opportunities, visit:
solomonpage.com
and connect with us on Facebook, and LinkedIn.
Opportunity Awaits.
Seniority level
Associate
Employment type
Full-time
Job function
Legal
Industries
Investment Management
Referrals increase your chances of interviewing at Solomon Page by 2x
Inferred from the description for this job
Medical insurance
Vision insurance
401(k)
Child care support
Paid maternity leave
Paid paternity leave
Tuition assistance
Disability insurance
Get notified about new Compliance Officer jobs in
Boston, MA .
#J-18808-Ljbffr