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.
- 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.
- 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.