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Description

Our client is a boutique Wealth Management firm looking to bring onboard a Compliance Analyst. The role is in Boston, mostly in office.

This role focuses on ensuring compliance and mitigating risk within a financial institution through meticulous analysis and proactive monitoring. Key responsibilities include conducting remote and onsite branch reviews and performing daily trade blotter reviews with an emphasis on exception reports, requiring strong attention to detail. The candidate will assist with annual supervisory controls testing, review and approve advertising, sales literature, trade corrections, and other compliance matters, while investigating potential violations of industry standards. The position also involves conducting electronic communication surveillance, managing continuing education programs, and overseeing accounts management, all while maintaining a strong knowledge of regulatory changes. Successful candidates will organize compliance records, manage compliance application systems, and maintain accurate documentation processes.

Requirements

At least 2-5 years of compliance or risk management experience for a broker-dealer or investment advisor is required, along with a FINRA Series 7, 24, and 63/66 licenses. This role requires candidates to demonstrate strong interpersonal skills, confidentiality, and proficiency in compliance-related monitoring systems, and travel may be required for branch exams.

Please send your resume to Thatiane Abrantes. Thank you!

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