Boston - MA
Feb 28 2023
Mar 31 2023
- Aid in the implementation of programs, policies, and practices to ensure that all business units follow SEC regulatory requirements.
- Test/Audit a variety of internal procedures on a monthly, quarterly, semi-annually, and annual basis.
- Create new tests, or portions of tests, as processes or procedures change and evolve, or as issues arise.
- Recognize potential policy violations and recommend new controls, while working with other departments.
- Communicate effectively with others' concerns that originated from testing results.
- Follow-up on issues/concerns with teams in the time frame presented in the yearly compliance schedule.
- Aid with research/investigation of Compliance Exceptions, Laws and Rules and identifying how topics can be applied to the firm.
- Assist with the collection of required documents for the annual review process.
- Assist with Vendor due diligence.
- Manage compliance audit schedule via ACA website application.
- Submit the 13F and 13H quarterly to FINRA.
- Assist the COO with the annual ADV Part 1, 2 and 3.
- Aid with annual compliance and cybersecurity training programs.
- Participate in ongoing compliance and/or cybersecurity-related webinars, webcasts, seminars to stay current on the latest compliance topics.
- Contribute to firm-wide projects and process improvements.
- Assist with AP processing (3 hrs./week).
- Demonstrates analytical ability, good judgement, problem solving, responsibility, personal integrity, and can manage confidential information daily.
- A self-starter with a strong sense of ownership, positive professional attitude, and demeanor.
- Proficient in Microsoft Office (Word, PowerPoint, and Outlook).
- Advanced Microsoft Excel knowledge including VLOOKUP, Pivot Tables, SUMIF, COUNTIF preferred.
- Excellent oral and written communication skills.
- Professional and articulate with strong attention to detail.
- Ability to work efficiently, effectively, and independently to see projects through to conclusion.
- Excellent time management, strong organizational skills, ability to prioritize multiple tasks and anticipate potential problems.
- Minimum Bachelor's Degree
- 2-4 years of compliance experience within a financial firm
- Knowledge and experience in the financial sector.
Required Years of Experience:
For more information contact: Lynn Tyburski (617)728-4100 | firstname.lastname@example.org