Compliance Analyst - Boston, United States - Fanning Personnel

Description

Highly esteemed Boston investment firm is seeking a Compliance Analyst to join their team This individual will assist the compliance department with the development, implementation, and maintenance of the firm's compliance program.

The Compliance Analyst will provide oversight of the firm's activities to ensure they are compliant with federal, state, and local regulations as well as the firm's policies and procedures.

The ideal candidate will have exceptional written and verbal communication skills as well as knowledge of securities laws.


Position Responsibilities:
Conduct regular monitoring and back-testing on the firm's activities to determine whether existing practices are compliant with federal and state regulations as well as the firm's policies and procedures
Enhance, implement, and maintain the firm's policies, procedures, and processes
Identify key risk areas and maintain knowledge of the firm's processes and regulatory requirements
Prepare and submit regulatory filings as needed as well as conduct due diligence on research vendors
Provide guidance to the investment and operation teams on day-to-day activities as well as strategic initiatives
Assist with managing the firm's restricted list process and develop periodic compliance training
Ad hoc responsibilities as needed


Qualifications :

Position Qualifications:
Bachelor's degree with 3-6 with a compliance department or relevant legal/operations experience
Highly organized with a keen attention to detail
Exceptional communication skills both written and verbal
Strong analytical skills
Ability to present important information to all levels of the organization
Prioritize conflicting tasks in a fast-paced deadline driven environment
Ability to work collaboratively in a team environment as well as independently
Strong knowledge of security laws and technological skills

Required Years of Experience :

3

Additional Info :

For more information contact:
Chris Kennedy | -

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