Job Title:
Compliance Specialist
Job Code:
Job Category:
Job Type:
Job Location:
Boston - MA
Date Posted:
Oct 12 2021

Boston asset manager is seeking a Compliance Specialist to add to their growing team. The individual in this role will focus on the compliance review of sales and marketing communications. The Compliance Specialist will ensure that communications satisfy regulatory requirements, lead department projects, and provide compliance oversight to business partners relating to advertising rules and regulations.

Position Responsibilities:

  • Review broker dealer and investment advisor marketing communications to ensure compliance with applicable FINRA and SEC regulations.
  • Collaborate with internal clients and provide guidance in the development of marketing communications. This includes new product development, global marketing campaigns, web design, and social media.
  • Test for adherence with various Compliance policies and procedures for the Broker-Dealer and Registered Investment Advisor.
  • Keep abreast of regulatory developments and the impact to sales and marketing collateral.
  • Maintain and amend applicable policies and procedures and draft new ones, as needed.
  • Provide supplemental/backup assistance to other Compliance areas.

Position Qualifications:

  • Bachelor's degree
  • 1 year compliance or financial services experience preferred
  • Series 7 and 24 licenses are a plus
  • Excellent communication skills and an effective writer
  • Organized and able to prioritize and execute multiple responsibilities
  • Strong interpersonal skills to collaborate with individuals at all levels
  • Ability to work independently and analytically as well as in a team environment
Required Years of Experience:
Additional Info:
For more information contact: Lynn Tyburski (617)-728-4100 |
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