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    Compliance Officer - Boston, United States - Harrison Gray Search & Consulting

    Harrison Gray Search & Consulting
    Harrison Gray Search & Consulting Boston, United States

    1 week ago

    Harrison Gray Search & Consulting background
    Description

    Job Description

    Harrison Gray Searchhas teamed up with one of the most established investment advisors in the nation to recruit their next Compliance Officer.

    As a Compliance Officer, you play a crucial role in ensuring the business operates with the utmost standards of integrity and fairness. We are looking for a reliable individual with attention to detail and leadership skills to fill this impactful position. Your responsibilities will cover a wide range of compliance-related tasks, where your knowledge, communication, and integrity are key to success.

    This full-time position will report to the Chief Compliance Officer and will be based in the Boston branch office with working hours from Monday to Friday, 8:30 AM to 5:00 PM EST.

    Role Responsibilities

    General Responsibilities (80%)

    • Promote ethical conduct and uphold the Company's reputation for honesty
    • Advise on regulatory obligations and manage compliance for business initiatives
    • Investigate potential policy violations thoroughly
    • Assist with regulatory exams and audits
    • Maintain an updated understanding of relevant regulations
    • Review and approve advertising and sales material
    • Implement and enforce compliance policies annually
    • Serve as the main point of contact for compliance issues
    • Conduct supervisory testing, training, and needs analysis
    • Participate in various committees related to compliance

    Entity/Specialty Responsibilities (20%)

    For Orange Futures and Commodities:

    • Manage compliance for Commodity Business
    • Provide training on cybersecurity, ethics, and AML
    • Conduct audits for the commodities business unit
    • Assess Vendor Risk and renew NFA memberships annually

    For Direct Investments (i.e. Tax-Shelters):

    • Review and approve deal agreements

    Key Measurements

    • Enforcement of compliance policies
    • Accuracy and thoroughness in task completion
    • Achievement of organizational goals
    • Building positive relationships with colleagues

    Minimum Requirements

    • 5+ years of experience in regulatory compliance
    • Bachelors degree in a business-related field
    • Series 7, 66 (or 63 and 65), 24 certifications
    • Ability to multitask and make independent decisions
    • Willingness to travel domestically
    • Various skills including analytical thinking, empathy, and time management

    Preferred Qualifications

    • Proficient in DocuSign, Adobe Acrobat, and other relevant software
    • FINRA Series 3 certification
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