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Compliance Analyst

RA Capital Management

Boston, MA, US
  • Job Type: Full-Time
  • Function: Legal
  • Industry: Life Science
  • Post Date: 07/09/2024
  • Website: racap.com
  • Company Address: 200 Berkeley Street, 18th Floor, Boston, MA, 02116

About RA Capital Management

RA Capital Management is a multi-stage investment manager dedicated to evidence-based investing in public and private healthcare and life science companies, and private planetary health companies.

Job Description

We are seeking a person with a strong interest in the regulatory and compliance requirements of a registered investment manager and desire to utilize their training to survey, monitor, and analyze the activities of a healthcare investment firm. As a Compliance Analyst, this individual should have an inquisitive and investigative nature and a desire to work on a collaborative team. They must be able to communicate across various teams with different types of knowledge and expertise. This position reports to the Chief Compliance Officer.
 
Key responsibilities include, but are not limited to:
 
  • Manage the ACA Compliance Modules, including employee reporting of personal accounts, political contributions, other conflicts and attestations, and trade surveillance
  • Conduct surveillance including chaperoning calls and reviewing notes, emails and other communications between RA Capital investment/research personnel and private and public companies, experts, consultants, and others
  • Provide formal and informal compliance training to RAC staff
  • Assist in SEC examinations and inquiries
  • Assist in special projects
 
Qualifications:
 
  • BA/BS/MS/JD or related experience
  • Prior compliance background is helpful but not required
  • Strong analytical and investigative skills
  • Familiarity with, or willingness to learn, employee reporting and database systems
  • Interest in front office operations of a registered investment advisor
  • Ability to recognize issues and make recommendations for resolution
  • Ability to communicate effectively verbally (1x1 and with groups) and in writing (formal and informal)
  • Ability to work across various functions