Boston - MA
Jan 30 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).
- 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:
For more information contact: Lynn Tyburski (617)728-4100 | firstname.lastname@example.org