Job Title:
Compliance Analyst
Job Code:
5564LT
Job Category:
Compliance/Risk/Legal
Job Type:
Permanent
Job Location:
Boston - MA
Date Posted:
Jan 5 2021
Responsibilities:
Highly reputable investment management firm is seeking a Compliance Analyst to join their dynamic legal and compliance team. This role will be responsible for supporting a range of projects, require a strong attention to detail, well developed organizational skills, and the ability to handle multiple tasks at the same time in a fast-paced organization.



Position Responsibilities:
  • Provide support for review of marketing materials to ensure compliance with applicable regulatory requirements (e.g., FINRA, SEC, NFA) and filing of materials with regulators as needed
  • Work closely and collaboratively with the Marketing Team on new initiatives, including social media campaigns
  • Implement, enhance, and update compliance policies, procedures and processes
  • Perform forensic testing of compliance-related activities
  • Assist with various compliance monitoring activities

Qualifications:
Position Qualifications:
  • Bachelor's Degree or equivalent required
  • A minimum of 3 years of experience in a financial services firm or law firm
  • Experience with ETFs and multi-asset products and solutions and/or operating in a manager-of-managers structure would all be pluses
  • Committed to maintaining the highest ethical standards
  • Strong oral and written communications
  • Understanding of the laws that govern compliance activities
  • Familiar with advertising review software
Required Years of Experience:
3
Additional Info:
For additional information, contact: Lynn Tyburski (617) 728- 4100 | ltyburski@fanning-boston.com
Salary Range:
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