Job Title:
Compliance Analyst
Job Code:
7049
Job Category:
Compliance/Risk/Legal
Job Type:
Permanent
Job Location:
Boston - MA
Date Posted:
Jan 30 2023
Expires On:
Mar 31 2023
Responsibilities:
•Conduct onsite/remote branch reviews as part of our risk based internal branch examination process
•Perform daily trade blotter review and approval with a focus on exception reports
•Assist with performing firm's annual supervisory controls and verification testing
•Review, investigate, and clear all daily Trade Summary Monthly, Account Periodic, and Account Rank surveillance reports
•Review and approve Advertising/Sales Literature/Public Speaking/Trade Corrections, Annuities, and Direct Business, etc. on RedOak
•Perform investigations of potential violation of industry and firm policies, procedures and best practices (document findings and report to CCO)
•Conduct email, instant messaging, social media, and other electronic communication surveillance in accordance with firm policy and involve Branch Management as needed
•Monitor Firm and Regulatory Element Continuing Education training
•Research and respond to regulatory information requests
•Work closely with Branch Managers on investigations involving trading activity in their respective branches
•Review and oversee active/inactive accounts, advisor account cash balances, and Quarterly Fees
•Enhance and implement Compliance policies, processes, and procedures
•Organize outside brokerage account approvals and review trading activity in
•Keep abreast of changes in regulatory rules and guidelines
•Send various approved firm letters and notifications to customers, as needed
•Organize and maintain content on Compliance Intranet site
•Maintain accurate hard copies of client files for Compliance and establish filing system
•Take initiative in career growth by engaging in provided development opportunities
•Be an active culture carrier within teams and contribute to a positive team morale
•Other projects as assigned
•Perform daily trade blotter review and approval with a focus on exception reports
•Assist with performing firm's annual supervisory controls and verification testing
•Review, investigate, and clear all daily Trade Summary Monthly, Account Periodic, and Account Rank surveillance reports
•Review and approve Advertising/Sales Literature/Public Speaking/Trade Corrections, Annuities, and Direct Business, etc. on RedOak
•Perform investigations of potential violation of industry and firm policies, procedures and best practices (document findings and report to CCO)
•Conduct email, instant messaging, social media, and other electronic communication surveillance in accordance with firm policy and involve Branch Management as needed
•Monitor Firm and Regulatory Element Continuing Education training
•Research and respond to regulatory information requests
•Work closely with Branch Managers on investigations involving trading activity in their respective branches
•Review and oversee active/inactive accounts, advisor account cash balances, and Quarterly Fees
•Enhance and implement Compliance policies, processes, and procedures
•Organize outside brokerage account approvals and review trading activity in
- oemployee outside accounts
•Keep abreast of changes in regulatory rules and guidelines
•Send various approved firm letters and notifications to customers, as needed
•Organize and maintain content on Compliance Intranet site
•Maintain accurate hard copies of client files for Compliance and establish filing system
•Take initiative in career growth by engaging in provided development opportunities
•Be an active culture carrier within teams and contribute to a positive team morale
•Other projects as assigned
Qualifications:
•Bachelor's degree in a business related field
•At least 2-5 years in a compliance or risk role for a broker dealer and/or investment advisor
•FINRA Series 7, 24, and 63/66
•Confident in using Microsoft Office Suite and Google Suite
•Strong interpersonal skills
•Ability to maintain confidentiality
•Prior experience with compliance-related monitoring systems
•5% domestic travel for branch exams
•At least 2-5 years in a compliance or risk role for a broker dealer and/or investment advisor
•FINRA Series 7, 24, and 63/66
•Confident in using Microsoft Office Suite and Google Suite
•Strong interpersonal skills
•Ability to maintain confidentiality
•Prior experience with compliance-related monitoring systems
•5% domestic travel for branch exams
Required Years of Experience:
2
Additional Info:
For more information contact: Lynn Tyburski (617)728-4100 | lynn@fanning-boston.com
Salary Range: