1940 Act Compliance Officer Job at Danos Group, Boston, MA

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  • Danos Group
  • Boston, MA

Job Description

Our client, a prominent investment manager, is looking to hire a Senior Compliance Officer to support their 40 Act funds.

Responsibilities:

  • Supporting 1940 Act Public Vehicle and Registered Investment Company Platform.
  • Oversee components of the firm’s compliance program including documentation, investment allocation oversight, and related control processes.
  • Prepare and coordinate materials and minutes for board and committee meetings across the firm’s registered investment vehicles.
  • Support regulatory governance obligations, including charter and exchange-related requirements.
  • Collaborate with compliance technology partners to enhance systems supporting the ’40 Act compliance program.
  • Maintain the firm’s regulatory filings calendar, including board and officer filings (Forms 3, 4, etc.) and other required submissions.
  • Coordinate the Rule 38(a)-1 testing and monitoring program for all registered funds and public vehicles.
  • Review service-provider and adviser reporting related to investment guideline compliance.
  • Support regulatory exam readiness and stay current on evolving SEC and industry developments.

Requirements

  • 8+ years of investment company and advisory compliance experience

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