Join our esteemed investment firm in the heart of Boston, where we blend a rich history of financial expertise with a forward-thinking approach to investment strategies. As we expand our team, we are excited to welcome a Regulatory Compliance Associate to ensure that our operations meet the highest standards of regulatory compliance.

In this pivotal role, you'll work closely with seasoned professionals in a dynamic environment, leveraging your expertise to navigate complex regulatory landscapes while fostering a culture of integrity and transparency. Your contributions will be instrumental in safeguarding our reputation and maintaining the trust of our clients and stakeholders.

Enjoy the best of both worlds with our hybrid work schedule, offering flexibility and autonomy while still fostering collaboration and innovation within our close-knit team. Join us in shaping the future of finance as we continue to drive success and deliver unparalleled value to our clients, all within the vibrant backdrop of historic Boston."

Adding to staff, a Regulatory Compliance Associate within an investment firm plays a critical role in ensuring that the firm operates within the bounds of all relevant laws, regulations, and industry standards. Their responsibilities typically include:

Monitoring Compliance: Regularly reviewing and monitoring regulatory changes at the local, national, and international levels to ensure the firm is aware of and compliant with all applicable laws and regulations.
Policy Development and Implementation: Developing, updating, and implementing policies and procedures to ensure compliance with regulatory requirements. This may include policies related to trading, anti-money laundering (AML), know your customer (KYC), privacy, and data protection.
Risk Assessment: Conducting risk assessments to identify areas of potential non-compliance and developing strategies to mitigate these risks effectively.
Training and Education: Providing training and education to employees on compliance-related matters to ensure they understand their responsibilities and the implications of non-compliance.
Regulatory Reporting: Ensuring timely and accurate reporting to regulatory authorities as required by applicable regulations. This may include filing reports related to trading activities, client complaints, or regulatory inquiries.
Internal Investigations: Conducting internal investigations in response to potential compliance violations, whistleblower reports, or regulatory inquiries. This may involve working closely with legal, audit, and other internal stakeholders.
Compliance Testing and Monitoring: Performing compliance testing and monitoring activities to assess the effectiveness of existing compliance controls and identify areas for improvement.
Client Due Diligence: Conducting due diligence on clients and counterparties to ensure compliance with AML and KYC requirements. This may involve reviewing client documentation, conducting background checks, and assessing potential risks.
Audit Support: Assisting with internal and external audits by providing documentation, answering questions, and addressing any compliance-related issues that may arise during the audit process.
Regulatory Liaison: Serving as a point of contact for regulatory inquiries and examinations, and coordinating responses to regulatory requests in collaboration with legal and other internal stakeholders.

Overall, the Regulatory Compliance Associate plays a crucial role in helping the investment firm navigate the complex regulatory landscape and maintain a culture of compliance across the organization. They work closely with various departments, including legal, risk management, and operations, to ensure that the firm meets its regulatory obligations and upholds the highest standards of integrity and transparency.

Total compensation is based on industry experience and years of experience

Want more information?