Job Title:
Compliance Analyst
Job Code:
6750LT
Job Category:
Compliance/Risk/Legal
Job Type:
Permanent
Job Location:
Boston - MA
Date Posted:
Dec 13 2021
Responsibilities:

Prestigious financial institution located in Boston is seeking a Compliance Analyst to join their firm! The primary role of the Compliance Analyst is to maintain and manage records as well as code of ethics administration and forensic testing. The ideal candidate will support a wide-range of projects to support the firm's initiatives.

Position Responsibilities:

  • Serve as Records Manager
  • Oversee the day-to-day administration and maintenance of the records management system
  • Implement updated records framework
  • Assist with periodic forensic testing and surveillance of firm-wide operational activities
  • Support the administration of firm's code of ethics
  • Support the CCO annual reviews and updating of policies and procedures
  • Assist with various compliance monitoring activities
Qualifications:

Position Qualifications:

  • Bachelor's Degree or equivalent required
  • 0-3 years of experience in a financial services firm or law firm
  • Maintain high ethical standards
  • Understanding of Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations
  • Keen attention to detail
  • Ability to work collaboratively and independently
  • Prioritize and pivot between tasks in a deadline driven environment
  • Excellent written and verbal communication skills
Required Years of Experience:
1
Additional Info:
For more information contact: Lynn Tyburski (617)728-4100 | lynn@fanning-boston.com
Salary Range:
$65,000 - $75,000
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