Investment Compliance Manager

Boston Trust Walden N.A. is an independent, employee-owned organization providing investment management services to institutional investors and private wealth clients. It manages approximately $16 billion in client assets and is known for its stable, diversified business model, compelling investment philosophy, and strong ESG impact investing practices.

About the role

The Investment Compliance Manager plays a crucial role in ensuring investments comply with applicable rules, client mandates, and firm standards. They collaborate with portfolio managers and client service administrators to resolve compliance alerts and ensure regulatory and policy requirements are met. The position requires a deep understanding of investment management agreements, SEC regulations, and compliance systems.

Responsibilities

• Conduct daily review and monitoring of compliance alerts for all accounts managed by Boston Trust Walden.
• Collaborate with investment managers and client service administrators to resolve alerts promptly.
• Develop an understanding of investment management agreement objectives and guidelines to facilitate regular reviews and validations.
• Observe investment committee and securities research committee meetings to understand portfolio positioning and rationale.
• Ensure identified errors or compliance exceptions receive appropriate corrective action.
• Respond to audit, regulatory, and examination requests.
• Develop and provide training on compliance requirements.
• Maintain current procedures for key activities.
• Escalate issues as necessary to key stakeholders.
• Support compliance programs and regulatory reviews.
• Manage multiple priorities and communicate effectively.
• Work independently and cross-functionally.
• Use CRM databases and Microsoft Office products proficiently.
• Solve problems and demonstrate intellectual curiosity.

Requirements

• 8+ years of experience in investment management or financial services.
• Demonstrated experience monitoring investment guidelines and working in investment compliance roles.
• Strong understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, and related SEC regulations.
• Experience with investment management platforms and compliance systems like Charles River IMS, Aladdin, CWAN, etc.
• General interest in and knowledge of securities industry across various investment vehicles and asset classes.
• Experience conducting investment adviser marketing reviews and best execution trading blotter reviews.
• Proven ability to support compliance programs and regulatory reviews.
• Comfortable working with regulators and auditors.
• Excellent problem-solving and analytical skills.

QualificationsEducation: Bachelor's degree in finance, law, or a related field.

Professional certifications in investment compliance (e.g., CFA, CIPM).

SkillsKnowledge of investment management agreements and guidelines.

Understanding of SEC regulations and banking laws.

Experience with compliance systems and platforms.

Ability to manage multiple tasks and prioritize responsibilities.

Effective communication and organizational skills.

Proficiency in Microsoft Office products.

Benefits

• 90% Employer-Funded Medical
• 50% Funded Dental
• Vision benefits
• Paid Holidays
• Sick Time
• Volunteer Time
• Parental Leave
• Tuition Reimbursement
• Commuter Subsidy
• Employer-Contributed HSA
• Employee Assistance Program
• Life and Disability Insurance

Pay

The salary range for the Investment Compliance Manager position is $96,000 - $133,000 USD annually. This range reflects the company's commitment to fair compensation and includes a comprehensive benefits package.