Job Title:
Compliance Analyst
Job Code:
6879LT
Job Category:
Compliance/Risk/Legal
Job Type:
Permanent
Job Location:
Boston - MA
Date Posted:
Apr 28 2022
Responsibilities:
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:
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
Qualifications:
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:
3
Additional Info:
For more information contact: Lynn Tyburski (617)728-4100 | lynn@fanning-boston.com
Salary Range:
$75,000 - $100,000