Job Title:
Compliance Associate
Job Code:
Job Category:
Job Type:
Job Location:
Boston - MA
Date Posted:
Jan 30 2023
Expires On:
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).
  • 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:
Additional Info:
For more information contact: Lynn Tyburski (617)728-4100 |
Salary Range:


Phone #:


Submit Resume:

All contents © copyright Fanning Personnel. All rights reserved.

Powered by: DreamingCode
Join Our Candidate Newsletter
20 Park Plaza, Suite 525
Boston, MA 02116