Compliance Analyst

Posted 09/22/2022 By Katie OConnell

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.
Want more information?

Complete the form below and Katie will follow up with you to discuss this position, or you can call her at 508-732-7218.

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