Loomis, Sayles & Company · 4 months ago
Portfolio Compliance Director
Boston, MA
Full-time
Hybrid
Senior Level, Lead/Staff
$165K/yr - $210K/yr
10+ years expLoomis Sayles is a performance-driven active asset management company that seeks to identify exceptional investment opportunities on behalf of institutional and retail clients worldwide. The Director of Portfolio Compliance will be responsible for coding, validating, monitoring, and maintaining client investment guidelines in the Charles River Compliance System, ensuring regulatory compliance and client trust.
FinanceFinancial ServicesHedge Funds
Responsibilities
Directly supervising Compliance Staff
Comment on new and amended proposed guidelines during the Client Intake process
Code new and amended guidelines in CRD
Validation of guideline coding in CRD
Review responses to CRD Alerts addressed by the Compliance Specialists or Analysts
Work with members of the investment teams (Portfolio Managers, Portfolio Specialists, and/or Client Service Representatives) to cure guideline issues in a manner consistent with Loomis’ fiduciary duty to its clients
Work closely with Portfolio Managers and Client Service Representatives to seek guideline clarifications, amendments, and waivers from clients as necessary
Review the coding of existing accounts for accuracy and escalate any issues to the Deputy Chief Compliance Officer
Review new issue prospectus documents for client eligibility
Review Investment Company, Investment Adviser and ERISA regulations for investment eligibility requirements
Respond to compliance questions for RFP and due diligence questionnaire
Work on ad hoc compliance projects as necessary
This position requires commuting to the Boston office 3 days a week, from Tuesday through Thursday
Qualification
Required
Bachelor's degree in a business related field - MBA preferred
At least 10 years of investment adviser guideline compliance experience is required
Must have supervisory experience managing compliance employees
Extensive rule coding knowledge of CRD is required – Must be able to code new rules and validate changes to existing rules in CRD
Must have ability to work both independently and in a team environment to work effectively with other members of the Legal and Compliance Department and other departments within Loomis Sayles
Strong knowledge of fixed income securities, equities and derivatives is required
Must have exceptional follow up skills to ensure guideline issues are resolved in a timely manner to reduce Loomis Sayles' market risk
Must have good judgment in knowing when to raise issues to the Deputy Chief Compliance Officer
Must have ability to prioritize work in order to efficiently meet all deadlines
Knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 is required
Strong computer skills, including competence with Excel and Word
Strong knowledge of equity and fixed-income securities, prior experience with derivatives
Demonstrated analytical ability
Benefits
Discretionary annual incentive award
Comprehensive benefits package designed to support your health, well-being and financial security
Company
Loomis, Sayles & Company
Loomis, Sayles & Company is an investment management firm that offers a variety of products for institutional investor and retail investors.
501-1000 employees
H1B Sponsorship
Loomis, Sayles & Company has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (7)
2024 (5)
2023 (4)
2022 (13)
2021 (7)
2020 (6)
Funding
Current Stage
Late StageLeadership Team
C
Chris Harms
Portfolio Manager, Co-Head Relative Return Group, Vice President
Colleen Denzler
Chief Sustainability Officer
Recent News
2025-11-24
2025-11-20
2025-11-20
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