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Compliance Surveillance Manager

Company: Bain Capital
Location: Boston
Posted on: February 25, 2021

Job Description:

We are one of the world's leading private multi-asset alternative investment firms with approximately $100 billion in assets under management that creates lasting impact for our investors, teams, businesses and the communities in which we live. Founded in 1984, we pioneered a consulting-based approach to private equity investing, partnering closely with management teams to offer the insights that challenge conventional thinking, build great businesses and improve operations. Over time, we have organically expanded this approach across asset classes to build one of the strongest alternative asset platforms in the world. Today, our teams strive to create value through private equity, public equity, fixed income and credit, venture capital and real estate investments across multiple sectors, industries, and geographies. We believe that our people and the shared values we've espoused since our founding remain the core of our competitive advantage. This has empowered us to deliver an enduring impact to a diverse group of investors including pensions, endowments, foundations and individuals. Position Overview The Compliance Manager Role will sit within the firm's cross line of business compliance function, which provides global firm-wide support including: personnel compliance; ethical walls; surveillance; conflicts and risk identification; assurance; regulatory inquiry coordination; regulatory filings; management reporting; training; information management; and department technology. Reporting to the Deputy Corporate Chief Compliance Officer, this role will be responsible for the day-to-day oversight and administration of the firm's Compliance surveillance program.

  • Design and implementation of the firm's global surveillance program
  • Work with business and regional compliance teams to tailor surveillance activities to respective risks areas
  • Manage firm's trade and communications surveillance applications
  • Directly perform certain daily, monthly and quarterly surveillance activities
  • Oversee performance of certain daily, monthly and quarterly surveillance activities by other compliance functions and third-parties
  • Focus areas include MNPI/information barriers, investment allocation, best execution, valuation, beneficial ownership filings, FCA transaction reporting, expense allocation, fees, AML/CFT, marketing, conflicts of interest, personnel activities, 40 Act, and data exfiltration
  • Partner with regulatory risk and assurance team to ensure adequacy of surveillance activities--
  • Prepare and present reporting to senior compliance team on an ongoing basis
  • Assist with preparation of compliance department management information for senior business leaders
  • Maintain and update surveillance procedures manual and monthly calendar General Qualifications
    • 8 years of experience with a minimum of 5+ years of compliance experience at a financial services firm
    • Strong knowledge of the Investment Advisers Act, particularly Rules 206(4)-7, and Sections 204A, 206(2) and 206(4)
    • Strong knowledge of compliance software, including employee compliance, trading and electronic communication review systems
    • Bachelor's degree with a strong GPA.
    • Dedicated team player with a strong sense of ownership and problem solving skills
    • Capacity to handle highly confidential and sensitive information
    • Detail-oriented, conscientious and energetic professional with the ability to think creatively
    • Excellent organizational skills; ability to prioritize multiple projects with high attention to detail
    • Customer service orientation with strong interpersonal skills with the capacity to interact with outside parties and personnel across all levels of the firm Posted 30+ Days Ago Full time REQ_104078 About Us Bain Capital, LP-- is one of the world's leading private multi-asset alternative investment firms that creates lasting impact for our investors, teams, businesses, and the communities in which we live. Since our founding in 1984, we've applied our insight and experience to organically expand into several asset classes including private equity, credit, public equity and venture capital. We leverage our shared platform to capture cross-asset class opportunities in strategic areas of focus. With offices on four continents, our global team aligns our interests with those of our investors for lasting impact.

Keywords: Bain Capital, Boston , Compliance Surveillance Manager, Executive , Boston, Massachusetts

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