File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Name://
JobTitle
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Title
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Compliance Associate
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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JobCode
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Code
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
7035
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Name://
JobCategoryName
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Category
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Compliance/Risk/Legal
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Name://
JobTypeName
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Type
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Permanent
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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JobLocationName
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Job Location
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Boston - MA
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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PublishOnDate
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Date Posted
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1171
Field Value:
Jan 30 2023 12:00:00:000AM
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Name://
ExpireOnDate
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1170
Field Label:
Expires On
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
Mar 31 2023 12:00:00:000AM
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Name://
Responsibilities
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Responsibilities
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
- •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).
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Name://
Qualifications
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Qualifications
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Value:
- Minimum Bachelor's Degree
- 2-4 years of compliance experience within a financial firm.
- Knowledge and experience in the financial sector.
- 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.
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1169
Field Name://
RequiredYearsOfExperience
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1170
Field Label:
Required Years of Experience
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1171
Field Value:
2
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
Line 1169
Field Name://
AdditionalInfo
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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Field Label:
Additional Info
File /var/www/html/commerce.dreamingcode.com/plugins/content-inline/plugin_joblistings.class.php
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For more information contact: Lynn Tyburski (617)728-4100 | lynn@fanning-boston.com
Fanning Personnel - Boston Jobs - Boston Investment Jobs, Boston Finance Jobs - Fanning Personnel
Job Title:
Compliance Associate
Job Category:
Compliance/Risk/Legal
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:
- Minimum Bachelor's Degree
- 2-4 years of compliance experience within a financial firm.
- Knowledge and experience in the financial sector.
- 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.
Required Years of Experience:
2