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.


  • 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.
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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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