Job Title:
Compliance Analyst
Job Code:
Job Category:
Job Type:
Job Location:
Boston - MA
Date Posted:
Apr 28 2022
This investment firm outside of Boston offers a flexible, highly collaborative, and positive work environment—sharing knowledge with colleagues, working across departments, collective problem-solving and celebrating individual and team successes. This firm offers the opportunity to advance your career at a company that combines the stability of an established business with the fast-paced entrepreneurism of a growing firm. The ideal candidate will have a well-developed understanding of the wealth management industry or related field, particularly with respect to compliance with Securities Exchange Commission rules and regulations.

Position Responsibilities:
  • Provide support to the Compliance team for Firm's code of ethics program
  • Assist with the risk function to ensure compliance with the Securities Exchange Commission, state regulators and the Investment Advisers Act of 1940
  • Review new client onboarding documents ensuring necessary forms have been obtained and are correct
  • Participate in the review and archiving of advertising material as needed
  • Administer compliance technology platforms
  • Assist with employee onboarding and offboarding
  • Assist with various testing and compliance program auditing
  • Favorable SEC exams
  • No glaring deficiencies in firm's policies and procedures
  • Ad hoc responsibilities and projects as assigned
Position Qualifications:
  • Bachelor's degree with 3+ years of related experience at an investment adviser or broker-dealer
  • Experience with the Inv Advisers Act of 1940 and applicable state rules is a plus
  • IAACP and/or CSPC certification is a plus
  • Highly organized with a keen attention to detail
  • Excellent written and verbal communication skills
  • Ability to multi-task and prioritize in a deadline driven environment
  • Ability to work collaboratively in a team environment
  • Willingness to take on and solve problems as they arise
  • Hybrid work environment requires COVID vaccinations and boosters
  • Travel may be required, expected to be 5% or less of working time
Required Years of Experience:
Additional Info:
For more information contact: Lynn Tyburski (617)728-4100 |
Salary Range:
$75,000 - $100,000


Phone #:


Submit Resume:

All contents © copyright Fanning Personnel. All rights reserved.

Powered by: DreamingCode
Join Our Candidate Newsletter
20 Park Plaza, Suite 525
Boston, MA 02116