Compliance Analyst

We're seeking an enthusiastic and talented Compliance professional to join one of the top financial firms in Boston. They are growing exponentially, and you would be a pivotal contributor to this growth, with the opportunity to lead and define your role.

Requirements:

• Review broker dealer and investment advisor marketing communications to ensure compliance with applicable FINRA and SEC regulations.
• Consult with internal business partners and recommend actions to ensure compliance with applicable laws and standards
• Assist with compliance policies and procedures, training initiatives, internal reviews, and projects as assigned.
• Additional responsibilities may include reviewing RFP/DDQ content, 529 materials, social media posts, and websites.

Qualifications:

• Bachelor's degree or equivalent required, plus 2+ years experience required.
• Previous compliance experience within the asset management industry, mutual fund distributor experience preferred.
• Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising preferred.
• FINRA licensing is required including the SIE or equivalent, series 7 and series 24. If not already licensed, must obtain all licenses within 6 months.
• Must have strong written and communication, organizational, attention to detail, analytical, problem solving, and relationship building skills.
• Demonstrated ability to efficiently and effectively research, compile, and analyze information, work independently and within a collaborative team environment, take initiative, and effectively prioritize multiple tasks required.
• Proficiency working with the Microsoft Office suite of applications.