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JobTitle




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Job Title




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Compliance Associate




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JobCode




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Job Code




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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6942




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JobCategoryName




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Job Category




File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Compliance/Risk/Legal




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JobTypeName




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Job Type




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Permanent




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Job Location




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Boston - MA




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PublishOnDate




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Date Posted




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Feb  1 2023 12:00:00:000AM




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Expires On




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Mar 31 2023 12:00:00:000AM




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Responsibilities




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Responsibilities




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Qualifications




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2




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Additional Info




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For more information contact: Adam Cordeiro (617)-912-2307 |adamc@fanning-boston.com




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SalaryRange




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Salary Range




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70-85k


Fanning Personnel - Boston Jobs - Boston Investment Jobs, Boston Finance Jobs - Fanning Personnel
 

Job Title:
Compliance Associate
Job Code:
6942
Job Category:
Compliance/Risk/Legal
Job Type:
Permanent
Job Location:
Boston - MA
Date Posted:
Feb 1 2023
Expires On:
Mar 31 2023
Responsibilities:
  • Principal global corporate compliance administrator for the Code of Ethics and related policies, including Gifts & Entertainment, Political Contributions, Code of Conduct, and Whistleblower
  • Oversee the implementation, maintenance, and annual review of 10-15 compliance policies and procedures on an ongoing basis
  • Monitor for regulatory changes and implement revisions to internal policies and procedures as needed to ensure ongoing regulatory compliance
  • Oversee the in-person and online Compliance training program
  • Coordinate responses to requests from internal business partners
  • Support the production of Board reports and any other relevant materials
  • Support the efforts of the broader Compliance Team and provide additional tasks and duties as needed
Qualifications:
  • Qualified candidates should have 2-4 years of related experience in the financial services industry, preferably within the investment advisory business
  • Familiarity with Rule 204A-1 the Investment Advisers Act of 1940 and Rule 17j-1 of the Investment Company Act of 1940 and related regulations (i.e., Code of Ethics requirements)
  • Self-starter with excellent communication and relationship skills
  • Strong writing, editing, and proofreading skills
  • Knowledge working with Microsoft products, including Teams and SharePoint Online
  • Comfortable learning new technologies
  • Demonstrated ability to prioritize work and manage multiple tasks to meet daily and periodic deadlines
  • Positive attitude, professional and mature
  • Comfortable working both independently and as part of a team
Required Years of Experience:
2
Additional Info:
For more information contact: Adam Cordeiro (617)-912-2307 |adamc@fanning-boston.com
Salary Range:
70-85k
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Email:

Phone #:

Message:

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