Chief Compliance Officer
Marble Harbor Investment Counsel, LLC
Location: Boston, MA
Marble Harbor Investment Counsel is an independent, SEC registered investment adviser with more than $1 billion in assets under management located in Boston, Massachusetts. Our client base is primarily composed of individuals, families, trusts and estates.
Position Overview
We are seeking an experienced, hands-on Chief Compliance Officer with a proven track record to lead and manage all aspects of the firm’s compliance program. This position reports directly to the Managing Member of Marble Harbor and has no direct reports.
Key Responsibilities
Responsible for the implementation and maintenance of the firm’s compliance program to ensure compliance with the Investment Advisers Act of 1940 and other securities laws and regulations. The candidate’s responsibilities will include, but are not limited to:
Administer, monitor and implement the firm’s compliance program
Conduct annual review and risk assessment of the compliance program and report findings to the firm’s Managing Member
Test systems and controls to effectively manage and mitigate compliance risk
Administer and monitor the firm’s Code of Ethics, including attestations, personal trading activities, reporting of business gifts and outside business activities of Access Persons
Proactively identify and assess SEC proposed regulations that may require the firm’s compliance program to be updated to ensure compliance
Review and maintain firm’s compliance policies and procedures, disclosure documents and compliance calendar
Analyze client investment guidelines to implement and monitor investment restrictions
Review and approve marketing related materials
Administer the firm’s proxy voting process
Review and monitor trade error corrections
Conduct initial, periodic and annual compliance training to educate and engage employees on compliance policies and procedures, including Code of Ethics and Fiduciary Duty
Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner
Serve as primary contact for SEC, state and other regulatory examiners, as well as firm’s compliance counsel; and respond to all exams/inquiries during regulatory examinations
Manage all aspects of the annual custody examination conducted by an independent auditing firm
Conduct periodic review of employees’ firm email communications
Work with IT team on cybersecurity/compliance matters
Assist with firm’s insurance programs
Periodically attend compliance and regulatory forums sponsored by respected industry organizations
Provide support to operations and client service teams, as needed
Qualifications
Ability to foster culture of compliance and integrity
Adheres to high ethical standards, judgment and discretion
Self-motivated, and able to function with a high degree of independence
Ability to be proactive and follow up to resolve issues
Seeks to keep abreast of compliance regulations and best practices
Excellent attention to detail and organizational skills
Strong oral and written communication skills
Ability to understand complex regulatory standards
Works well in non-hierarchical environment and team player
Willingness to assist colleagues with special requests, as needed
Maintain positive attitude
Lifelong commitment to learning
Candidate Requirements
5 years or more working experience for a SEC registered investment adviser and/or private investment fund in a relevant compliance, legal or regulatory role
Strong knowledge and understanding of the Investment Advisers Act of 1940 and state securities laws, and other related laws and regulations
Experience with SEC, state and/or other regulatory examinations
Professional compliance designations and licenses a plus but not required
Knowledge of Advent Axys or similar portfolio accounting systems, order management and compliance reporting systems a plus but not required
If you are interested in this position, please send a cover letter and resume to Leslie Meinhart, CCO, at lmeinhart@marbleharboric.com.