Jobs
>
Boston

    Compliance Officer - Boston, United States - Moors & Cabot Inc

    Moors & Cabot Inc
    Moors & Cabot Inc Boston, United States

    2 weeks ago

    Default job background
    Description

    Job Description

    Job Description

    Role Description

    The Compliance Officer is an integral part of the Compliance team's mission to conduct Moors & Cabot business consistent with the highest standards of commercial honor and just and equitable principles of trade. Occupied by a dependable individual with poise, attention to detail, and leadership abilities, this position is impactful not only in the compliance department but across the firm as they interact with all business units on a consistent basis. As a boutique wealth management firm, this position exemplifies all of our core values - Integrity, Initiative, Service is Personal, One Team, and Communication - as this position has a vast range of compliance related responsibilities in which the Compliance Officer's scope of knowledge, communication, teamwork, collaboration, and integrity is paramount to its success.

    This full-time role reports to the Chief Compliance Officer. Working hours are Monday - Friday 8:30 AM to 5:00 PM EST. The position is based in the Boston branch office.

    Role Responsibilities

    General Responsibilities (80%)

    • Promote, protect, and set the tone to reflect the Company's reputation for ethics, integrity, and honesty in all dealings
    • Advise and manage a broad spectrum of regulatory obligations and restrictions encompassing business initiatives and product approvals
    • Investigate potential violation of industry and firm policies, procedures, and best practices from start to finish, as warranted
    • Assist Chief Compliance Officer with regulatory exams, audits, branch audits, and information requests
    • Maintain a thorough and up-to-date understanding of applicable regulations and rule proposals impacting the Firm's business activities and communicate, as needed, to executive management team and financial advisors
    • Review and approve advertising, sales literature, public speaking requests, and website and social media content
    • Write, update, communicate, and enforce yearly compliance policies and written supervisory procedures
    • Serve as Master Account Administrator and Compliance Contact for MSRB
    • Respond to state registration inquiries
    • Create 13F quarterly reports
    • Serve as STC and SMARSH main point of contact and account administrator for regular reporting
    • Review and approve New Issues, Secondary Offerings, Annuity, Direct Participation, and Direct Business
    • Formulate, review, and update Business Continuity Plans and Privacy Policy annually
    • Conduct annual Supervisory and Controls testing
    • Perform firm element training and needs analysis and administer Firm Element Training
    • Be an active member of the AML Committee & Best Execution Committee
    • Help maintain a consultative compliance department

    Entity/Specialty Responsibilities (20%)

    For Orange Futures and Commodities:

    • Serve as primary compliance contact for Commodity Business
    • Conduct, implement, and monitor training regarding cybersecurity testing, ethics, and AML
    • Perform annual audit of commodities business unit
    • Complete annual Vendor Risk Assessment and NFA renewals

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

    • Review, monitor, and approve all deal agreements

    Key Measurements

    • Effectiveness in enacting and enforcing compliance policies and procedures firm-wide
    • Thoroughness and accuracy of assigned tasks both firm-wide and within specialities
    • Accomplishment of annual organizational, team and personal goals as communicated by management
    • Ability to create and maintain positive working relationships with colleagues and provide consultative compliance support

    Minimum Requirements

    • Minimum 5 years of experience in a regulatory compliance or branch supervisory function for a broker dealer and/or investment advisor
    • Bachelor's degree in a business related field
    • Series 7, 66 (or 63 and 65), 24
    • Proven ability to multitask, work well under pressure, and make independent decisions
    • 10% domestic travel for branch exams and industry conferences; experience with branch exams required
    • Competent in the following knowledge areas, skills, and abilities
      • Critical & Analytical Thinking
      • Inductive & Deductive Reasoning
      • Reading & Writing Comprehension
      • Active Listening
      • Performance Monitoring
      • Persuasion & Negotiation
      • Knowledge of Securities Regulation and Investment Advisory
      • Social Perceptiveness
      • Empathy
      • Training & Instruction
      • Customer Service
      • Time Management
      • Finance
      • Clerical & Administrative Work

    PREFERRED QUALIFICATIONS

    • Experience using DocuSign, Adobe Acrobat, Bridger, Red Oak, Red Ed, Smarsh, and LinkedIn
    • FINRA Series 3
  • MMC Corporate

    Compliance Officer

    2 weeks ago

    MMC Corporate Boston, United States

    **What can you expect?** · Marsh McLennan's Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies and procedures, systems and controls, trai ...

  • Dept of Public Utilities

    Compliance Officer Iii

    2 weeks ago

    Dept of Public Utilities Boston, United States

    The Department of Public Utilities (DPU) is responsible for oversight of investor-owned electric power, natural gas, and water utilities in the Commonwealth; developing alternatives to traditional regulation; monitoring service quality; regulating safety in the transportation and ...

  • MFS Investment Management

    Compliance Officer

    2 weeks ago

    MFS Investment Management Boston, United States Full time

    At MFS, you will find a culture that supports you in doing what you do best. Our employees work together to reach better outcomes, favoring the strongest idea over the strongest individual. We put people first and demonstrate care and compassion for our community and each other. ...

  • MMC Corporate

    Compliance Officer

    1 week ago

    MMC Corporate Boston, United States OTHER

    What can you expect? · Marsh McLennan's Legal, Compliance and Public Affairs (LCPA) department promotes a culture in which ethical, lawful, and risk mindful behavior is encouraged and reinforced. LCPA develops and implements policies and procedures, systems and controls, training ...

  • Commonwealth of Massachusetts

    Compliance Officer II

    3 weeks ago

    Commonwealth of Massachusetts Boston, United States Full time

    Description · The Division of Apprentice Standards (DAS) is responsible for promoting, developing, and servicing registered apprenticeship programs in the Commonwealth of Massachusetts. Our goal is to connect people to high-demand job opportunities across the Commonwealth throug ...

  • Allspring Global Investments

    Senior Compliance Officer

    3 days ago

    Allspring Global Investments Boston, United States Full time

    Elevate Your Career · Work where your ideas have impact · COMPANY · Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to i ...

  • Arrowstreet Capital

    Front Office Trade Compliance Systems Manager

    2 weeks ago

    Arrowstreet Capital Boston, United States

    Role Summary: · The Front Office Systems group is a critical part of our IT Systems Engineering department dedicated to the support of our trading processes and the development of portfolio management and trade execution software. The mission of the group is to provide best-in-cl ...

  • State Street

    Compliance Officer, Assistant Vice President, Onsite

    2 weeks ago

    State Street Boston, United States

    Who we are looking for · This role will be performed in Bostin office, onsite working model. · Why this role is important to us · The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us ...

  • Yoh

    Compliance Officers

    2 weeks ago

    Yoh Cambridge, MA, United States

    cGMP Compliance Specialist 2nd shift needed for a contract opportunity with Yoh Scientific's client located in Cambridge, MA. · This position is for a pharmaceutical company and is suitable for someone with a working knowledge of cGMPs and associated regulatory requirements for ...

  • Utah State University

    Chief Compliance Officer

    4 days ago

    Utah State University Logan, United States Benefited Full time

    Overview · The Chief Compliance Officer (CCO) (Compliance Officer Lead) provides administration, vision, strategic direction, coordination, and implementation of a comprehensive and cohesive compliance and ethics program at Utah State University (USU). The CCO leads the Office o ...

  • State Street

    Compliance Officer, Assistant Vice President, Onsite

    4 days ago

    State Street Boston, United States

    Who we are looking for · This role will be performed onsite, in Boston, MA. · Why this role is important to us · The team you will be joining plays an important role in the overall success of the organization. Across the globe, institutional investors rely on us to help them mana ...

  • Brockton Neighborhood Health Center

    Compliance Officer

    3 weeks ago

    Brockton Neighborhood Health Center Brockton, United States

    **Compliance Officer** · **$75, $87,250.00** · **Reports to: Director of Quality & Compliance** · ***: · **RESPONSIBILITIES**: · - Develops, implements, and maintains policies, procedures, and protocols to ensure compliance with all federal, state and local regulations, as well a ...

  • Harrison Gray Search

    Compliance Officer

    3 weeks ago

    Harrison Gray Search Boston, United States

    Harrison Gray Search has partnered with one of the oldest, most reputable investment advisors in the country to find its next Compliance Officer. · The Compliance Officer is an integral part of the Compliance team's mission to conduct business consistent with the highest standard ...

  • Harrison Gray Search & Consulting

    Compliance Officer

    2 weeks ago

    Harrison Gray Search & Consulting Boston, United States

    Job Description · Job DescriptionHarrison Gray Searchhas partnered with one of the oldest, most reputable investment advisors in the country to find its next Compliance Officer. · The Compliance Officer is an integral part of the Compliance teams mission to conduct business consi ...

  • Harvard University

    Compliance Officer

    2 weeks ago

    Harvard University Cambridge, United States

    Reporting to the Deputy Executive Director of Harvard University Health Services (HUHS), with a dotted line to the Executive Director, the Compliance Officer administers the Harvard University Health Services Compliance Program by consistently achiev Compliance Officer, Officer, ...

  • Harvard University

    Compliance Officer

    3 weeks ago

    Harvard University Cambridge, United States

    Basic QualificationsBachelor's degree. · Minimum of 10 years' experience in the healthcare industry with compliance or legal experience, including HIPAA. Certified Healthcare Compliance (CHC) or commitment to obtaining CHC within the first year of employment. · Additional Quali ...

  • Harvard University

    Compliance Officer

    3 weeks ago

    Harvard University Cambridge, United States

    Basic QualificationsBachelor's degree. · Minimum of 10 years' experience in the healthcare industry with compliance or legal experience, including HIPAA. Certified Healthcare Compliance (CHC) or commitment to obtaining CHC within the first year of employment. · Additional Quali ...

  • The Accuro Group

    Compliance Officers

    2 days ago

    The Accuro Group Cambridge, MA, United States

    Business Title: | Manufacturing Compliance Specialist · Location: Cambridge, MA 02142 · Job Type: Contract (12 Months) · Note: Parking will not be reimbursed by the CLIENT. Parking is roughly $420/mo. · Important: MFG background is mandatory. · Job Description: · THE CLIENT is a ...

  • InsideHigherEd

    QUALITY ASSURANCE OFFICER, Research Compliance

    2 weeks ago

    InsideHigherEd Boston, United States Administrative Jobs ,

    QUALITY ASSURANCE OFFICER, Research Compliance Tracking Code Job DescriptionThe Office of Research Compliance is in need of a Quality Assurance Officer (QAO) for the National Emerging Infectious Diseases Laboratories (NEIDL) at Boston University. The QAO will assess and monitor p ...

  • Yoh

    Compliance Officers

    2 weeks ago

    Yoh Cambridge, MA, United States

    cGMP Compliance Specialist needed for a contract opportunity with Yoh Scientific's client located in Cambridge, MA. · This position is for a pharmaceutical company and is suitable for someone with a working knowledge of cGMPs and associated regulatory requirements for the manufa ...