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Job Title:

Compliance Associate

Job Code:

7035

Job Category:

Compliance/Risk/Legal

Job Type:

Permanent

Job Location:

Boston - MA

Date Posted:

Feb 28 2023

Expires On:

Mar 31 2023

Responsibilities:

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).

Qualifications:

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:

Additional Info:

For more information contact: Lynn Tyburski (617)728-4100 | lynn@fanning-boston.com

Salary Range:

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