Job Title:
Compliance Officer, Monitoring
Job Code:
Job Category:
Job Type:
Job Location:
Boston - MA
Date Posted:
Dec 29 2021

Highly-esteemed Boston financial institution is seeking a Compliance Officer, Monitoring to join their growing team! The primary focus of this role is compliance monitoring and administration across a number of substantive areas, the successful candidate will be well-versed in a number of compliance areas, including compliance-related training and education. A successful candidate will need to demonstrate strong attention to detail, well developed organizational skills, and the ability to handle multiple tasks at the same time in a fast-paced and increasingly complex organization.

Position Responsibilities:

  • Administration and monitoring of compliance areas such as Gifts/Entertainment, Conflicts of Interest and Political Contributions, among others
  • Serve as the primary review officer and point of contact in each of the above areas
  • Create and conduct Annual Compliance meetings and other firm training (e.g., Code of Ethics, New Hires, etc.)
  • Lead periodic Compliance Open Houses, which serve as a forum for the broader firm to increase familiarity with Compliance policies, processes, and initiatives
  • Support the CCO annual reviews and updating of policies and procedures
  • Perform periodic forensic testing and surveillance of firm-wide operational activities
  • Draft and implement new policies and procedures as requested
  • Assist with implementation of new compliance initiatives
  • Serve as Compliance liaison with other departments for Information Security/BCP and vendor oversight

Position Qualifications:

  • Bachelor's Degree with 5+ years as a compliance professional or paralegal
  • Maintain high ethical standards.
  • Experience with ETFs and multi-asset products and solutions and/or operating in a manager-of-managers structure would all be pluses
  • Experience in the investment management industry and strong knowledge of the regulations that govern its activities, including the 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, NFA rules and regulations, and FINRA rules and regulations
  • Excellent interpersonal and communications skills, both written and verbal; must be able to interact with senior business professionals and address issues in a thoughtful and timely manner
  • Independent, self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment
  • Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy
  • Responsible for coordinating, and in certain cases managing, complex projects with multiple internal and external parties
  • Responsible for managing diverse and complex projects according to timelines that the candidate will create and monitor; therefore, strong project and time management skills are a must
Required Years of Experience:
Additional Info:
For more information contact: Lynn Tyburski (617)728-4100 |
Salary Range:


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