Compliance Officer

Written By Ingrid Nordskog

Appleton Partners, Inc.

Location: Boston

Appleton Partners, Inc. is a privately-owned Boston-based registered investment advisor offering a variety of high-quality strategies in the equity and fixed income space. The firm has approximately $12 billion in assets under management and has seen steady growth since the firm was founded in 1986. We are currently looking to add a Compliance Officer to our Compliance Department. The Compliance Officer will report directly to and work in tandem with Appleton’s Chief Compliance Officer to implement, manage and enforce Appleton’s compliance program in accordance with provisions of the Investment Advisers Act of 1940.

  • Assists Chief Compliance Officer in maintaining Appleton’s Compliance Management Program and develops new policies and procedures, as required

  • Designs, implements, provides compliance guidance, and executes monitoring and testing to ensure ongoing compliance with and effectiveness of Appleton’s Compliance Management Program

  • Manages marketing review process for adherence to applicable standards

  • Manages vendor management program and associated ongoing due diligence processes

  • Develops oversight activities that address risks related to investment advisory activities

  • Develops proactive review of Appleton’s activities to identify trends and anomalies

  • Assists in the registration activities of Appleton, including, but not limited to, preparation and maintenance of Form ADV

  • Creates appropriate training curriculum and conducts training, as necessary

  • Ensures timely identification, escalation and mitigation of any Appleton related risk and/or compliance related issues

  • Provides regular reporting to Appleton’s Chief Compliance Officer on compliance issues and activities

  • Keeps current on industry issues, trends, laws and regulations, and upcoming developments.

  • Attends regulatory & compliance seminars and conferences

  • Performs other duties as assigned

Job Requirements:

  • Bachelor’s Degree

  • 2+ years of compliance experience in the investment services industry

  • Solid understanding of the Investment Advisers Act and related advisor regulations

  • Experience with US regulators, particularly the SEC, a plus

  • Ability to work as part of a team while maintaining a proactive, creative solution-based process

  • Strong interpersonal, oral and written skills

  • Willingness to enroll in and complete certification of IACCP

Please contact Michele Hubley at mhubley@appletonpartners.com.

Ingrid Nordskog
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