The Senior Compliance Associate will be based in our Boca Raton or Boston office and will be responsible for supporting the General Counsel & Chief Compliance Officer with compliance initiatives within the organization, ensuring that the Firm and all employees are complying with regulatory requirements and internal policies and procedures. The Senior Compliance Associate reports to the General Counsel & Chief Compliance Officer (GC/CCO.)

Roles & Responsibilities

  • Conduct periodic compliance testing and monitoring
  • Provide subject matter advice to teams with respect to compliance policies, procedures, and issue resolution
  • Collaborate with the Marketing team to provide compliance oversight related to RFIs, RFPs, DDQs, investment commentaries, presentations, and other marketing materials
  • Actively participate in various compliance group projects and initiatives
  • Analyze, design, and implement policies, procedures and monitoring activities
  • Work alongside the GC/CCO in reviewing client investment guidelines
  • Research pertinent legal and regulatory developments
  • Support the GC/CCO in developing, maintaining, and revising the Firm’s policies and procedures manual, and ensuring compliance with such policies
  • Coordinate with the GC/CCO on regulatory reporting and responding to audits, regulatory exams, investigations, and other information requests
  • Assist with the continual improvement of processes among teams to optimize efficiency, mitigate risk and incorporate changes, ensuring procedures are maintained in line with all current practices
  • Maintain a deep and up-to-date knowledge of Polen Capital’s compliance related work and future issues that could face Polen Capital

Preferred Qualifications

  • Bachelor’s degree
  • Minimum of three years of experience in the financial services industry in a compliance role
  • Intermediate knowledge of the products and services available in the investment management industry
  • High standards of personal integrity and accuracy
  • Effective oral and written communication skills with the ability to effectively communicate to all levels of the organization
  • Ability to prioritize and meet multiple deadlines with a sense of urgency
  • Solid interpersonal and client service skills
  • Willingness to explore process efficiencies and improvements

Additional Information

  • Full-time Employee
  • Boca Raton, FL or Boston, MA
  • Less than 5% travel required
  • U.S. Permanent Work Authorization (required)
  • Polen Capital is a ROWE (Results-Only Work Environment), offers competitive health benefits, annual individual training budgets, and 12-week paid parental leave

Instructions for Submitting Applications

Qualified candidates should submit their resume and cover letter to [email protected].